Personnel Hong Kong SFC License Details (ID 79207)

Personnel Hong Kong SFC License Details (ID 79207)

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
Rifa Futures Limited	Rep	Dealing in futures contracts	2025-04-15	-
Rifa Securities Limited	Rep	Dealing in securities	2025-04-15	-
ENLIGHTEN FUTURES LIMITED	Rep	Dealing in futures contracts	2005-10-28	2025-03-17
ENLIGHTEN SECURITIES LIMITED	Rep	Dealing in securities	2005-10-28	2025-03-17
PIPER JAFFRAY ASIA FUTURES LIMITED	Rep	Dealing in futures contracts	2004-03-03	2005-10-22
PIPER JAFFRAY ASIA SECURITIES LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-03-03
	Rep	Advising on securities	2003-04-01	2004-03-03
	Rep	Asset management	2003-04-01	2004-03-03
	Rep	Dealing in securities	2003-04-01	2005-10-22