Personnel SFC Licences and HKMA Registrations (ID 77840)

Key Data Licences & registrations 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
BOCI SECURITIES LIMITED	Rep	Dealing in futures contracts	2023-06-14	-
	Rep	Dealing in securities	2023-06-14	-
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2021-04-09	2022-03-09
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2019-01-16	2022-03-09
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	RO	Dealing in securities	2019-01-16	2022-03-09
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2018-11-15	2019-01-16
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2018-11-15	2019-01-16
	Rep	Advising on securities	2018-11-15	2022-03-09
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	RO	Dealing in futures contracts	2017-12-22	2018-07-20
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Dealing in futures contracts	2017-12-22	2018-07-20
	RO	Dealing in securities	2017-12-22	2018-07-20
	Rep	Dealing in futures contracts	2017-09-21	2017-12-22
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Dealing in futures contracts	2016-11-02	2017-12-22
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2016-11-02	2017-12-22
	Rep	Advising on securities	2016-11-02	2018-07-20
BOCI SECURITIES LIMITED	Rep	Advising on securities	2016-01-06	2016-09-30
	Rep	Dealing in futures contracts	2016-01-06	2016-09-30
	Rep	Dealing in securities	2016-01-06	2016-09-30
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in securities	2010-11-20	2015-01-12
DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED	RO	Dealing in futures contracts	2007-10-10	2015-01-12
	Rep	Dealing in securities	2006-05-15	2015-01-12
KBC FINANCIAL PRODUCTS HONG KONG LIMITED	Rep	Dealing in securities	2006-05-15	2010-11-20
HUNG SING FUTURES LIMITED	Rep	Advising on futures contracts	2003-04-01	2003-08-28
	Rep	Asset management	2003-04-01	2003-08-28
	Rep	Dealing in futures contracts	2003-04-01	2006-04-30
HUNG SING SECURITIES LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-08-28
	Rep	Advising on securities	2003-04-01	2003-08-28
	Rep	Asset management	2003-04-01	2003-08-28
	Rep	Dealing in securities	2003-04-01	2006-04-30

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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