Personnel Hong Kong SFC License Details (ID 78864)

Personnel Hong Kong SFC License Details (ID 78864)

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
Nerico Brothers Limited (HK)	RO	Leveraged foreign exchange trading	2018-03-08	2021-11-01
	Rep	Asset management	2015-07-20	2021-11-01
	Rep	Leveraged foreign exchange trading	2013-12-11	2018-03-08
	Rep	Dealing in futures contracts	2013-12-11	2021-11-01
	Rep	Dealing in securities	2013-12-11	2021-11-01
EMPEROR FUTURES LIMITED	Rep	Dealing in futures contracts	2008-06-03	2011-12-30
EMPEROR INTERNATIONAL EXCHANGE (HONG KONG) COMPANY LIMITED	Rep	Leveraged foreign exchange trading	2008-06-03	2011-12-30
EMPEROR SECURITIES LIMITED (HK)	Rep	Dealing in securities	2008-06-03	2011-12-30
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2007-08-20	2008-02-12
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2007-08-20	2008-02-12
	Rep	Leveraged foreign exchange trading	2007-01-08	2008-02-12
Success Futures and Foreign Exchange Limited	Rep	Leveraged foreign exchange trading	2006-09-14	2006-12-11
CINDA INTERNATIONAL INVESTMENT MANAGEMENT LIMITED	Rep	Leveraged foreign exchange trading	2006-08-15	2006-08-28
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Advising on futures contracts	-	2004-01-11
	Rep	Asset management	-	2004-01-11
	Rep	Dealing in futures contracts	-	2004-01-11