Personnel Hong Kong SFC License Details (ID 77782)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
SINO FINANCIAL ASSET MANAGEMENT LIMITED	RO	Advising on securities	2025-09-05	-
	RO	Asset management	2025-09-05	-
NFH Securities and Futures Limited	RO	Dealing in futures contracts	2016-11-21	2024-06-20
	RO	Dealing in securities	2016-11-21	2024-06-20
	RO	Advising on futures contracts	2016-11-21	2025-03-31
PRIME HARVEST CAPITAL LIMITED	RO	Advising on securities	2016-11-21	2025-03-31
	RO	Asset management	2016-11-21	2025-03-31
TFI Securities and Futures Limited	RO	Dealing in futures contracts	2016-03-09	2016-10-03
	RO	Dealing in securities	2016-03-09	2016-10-03
AVALOK CAPITAL LIMITED	RO	Advising on securities	2015-07-20	2016-02-29
	Rep	Asset management	2015-07-20	2016-02-29
	RO	Dealing in securities	2015-07-20	2016-02-29
JS SECURITIES LIMITED (HK)	RO	Advising on securities	2014-07-30	2015-01-19
	RO	Dealing in securities	2013-06-28	2015-01-19
	Rep	Dealing in securities	2013-05-10	2013-06-28
TFI Asset Management Limited	RO	Advising on securities	2013-01-28	2013-03-20
Rifa Futures Limited	RO	Dealing in futures contracts	2011-04-28	2013-03-20
Rifa Securities Limited	RO	Dealing in securities	2011-04-28	2013-03-20
Rifa Futures Limited	Rep	Dealing in futures contracts	2011-04-15	2011-04-28
Rifa Securities Limited	Rep	Dealing in securities	2011-04-15	2011-04-28
Well Link Securities Limited	RO	Dealing in futures contracts	2009-09-15	2011-04-01
	Rep	Dealing in securities	2009-05-21	2011-04-01
Rifa Futures Limited	RO	Dealing in futures contracts	2008-12-01	2009-05-20
Rifa Securities Limited	RO	Dealing in securities	2008-08-26	2009-05-20
	Rep	Dealing in securities	2008-04-01	2008-08-26
Tung Shing Futures (Brokers) Limited	Rep	Dealing in futures contracts	2007-12-07	2008-03-01
Tung Shing Securities (Brokers) Limited	Rep	Dealing in securities	2007-12-07	2008-03-01
ROCTEC FUTURES TRADING COMPANY LIMITED	Rep	Dealing in futures contracts	2007-06-12	2007-11-29
ROCTEC SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2007-06-12	2007-11-29
SOUTH CHINA COMMODITIES LIMITED	Rep	Dealing in futures contracts	2005-04-22	2007-05-31
SOUTH CHINA SECURITIES LIMITED	Rep	Dealing in securities	2005-04-22	2007-05-31
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2004-12-15	2005-01-26