Personnel Hong Kong SFC License Details (ID 78879)

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
EMPEROR FUTURES LIMITED	RO	Advising on futures contracts	2023-01-04	2025-06-13
Emperor Wealth Management Limited	RO	Advising on securities	2023-01-04	2025-06-13
	RO	Dealing in securities	2023-01-04	2025-06-13
Emperor Asset Management Limited	RO	Asset management	2022-02-21	2025-06-13
EMPEROR FUTURES LIMITED	RO	Dealing in futures contracts	2022-02-21	2025-06-13
EMPEROR SECURITIES LIMITED (HK)	RO	Advising on securities	2022-02-21	2025-06-13
	RO	Dealing in securities	2022-02-21	2025-06-13
Emperor Asset Management Limited	Rep	Asset management	2021-10-20	2022-02-21
EMPEROR FUTURES LIMITED	Rep	Dealing in futures contracts	2021-10-20	2022-02-21
EMPEROR SECURITIES LIMITED (HK)	Rep	Advising on securities	2021-10-20	2022-02-21
	Rep	Dealing in securities	2021-10-20	2022-02-21
ARTA GLOBAL MARKETS LIMITED	RO	Advising on securities	2019-01-16	2021-09-06
	RO	Asset management	2018-08-23	2021-09-06
Arta Global Futures Limited	RO	Dealing in futures contracts	2016-10-18	2021-09-06
ARTA GLOBAL MARKETS LIMITED	RO	Dealing in securities	2016-10-18	2021-09-06
Mason Securities Limited	RO	Advising on securities	2016-04-18	2016-08-09
	RO	Dealing in securities	2016-04-18	2016-08-09
ZHONG ZHENG INTERNATIONAL FUTURES LIMITED	RO	Dealing in futures contracts	2016-04-18	2016-08-09
Mason Securities Limited	Rep	Dealing in securities	2016-01-15	2016-04-18
ZHONG ZHENG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2016-01-15	2016-04-18
EMPEROR FUTURES LIMITED	RO	Dealing in futures contracts	2013-03-27	2014-01-02
EMPEROR SECURITIES LIMITED (HK)	RO	Dealing in securities	2013-03-27	2014-01-02
	Rep	Advising on securities	2010-11-11	2014-01-02
EMPEROR FUTURES LIMITED	Rep	Dealing in futures contracts	2010-02-12	2013-03-27
EMPEROR SECURITIES LIMITED (HK)	Rep	Dealing in securities	2010-02-12	2013-03-27
BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2009-12-22	2010-01-18
BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2009-12-22	2010-01-18
WING FUNG FINTECH LIMITED	Rep	Leveraged foreign exchange trading	2009-10-23	2009-11-18
WING FUNG FUTURES LIMITED	Rep	Dealing in futures contracts	2009-10-23	2009-11-18
WING FUNG SECURITIES LIMITED	Rep	Dealing in securities	2009-10-23	2009-11-18
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Leveraged foreign exchange trading	2005-02-18	2009-10-14
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2004-12-16	2009-10-14
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2004-12-06	2009-10-14
OnePlatform Asset Management Limited	Rep	Advising on securities	2004-05-13	2004-11-22