Personnel Hong Kong SFC License Details (ID 79238)

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
China Venture Fortune Securities Limited	RO	Advising on securities	2025-09-30	-
	RO	Asset management	2025-09-30	-
	RO	Dealing in securities	2025-09-30	-
	Rep	Advising on securities	2025-09-16	2025-09-30
	Rep	Asset management	2025-09-16	2025-09-30
	Rep	Dealing in securities	2025-09-16	2025-09-30
KAM LUEN SECURITIES LIMITED	RO	Advising on securities	2023-09-26	2024-10-09
	RO	Asset management	2023-09-26	2024-10-09
	RO	Dealing in securities	2023-09-26	2024-10-09
Constance Capital Limited (HK)	RO	Advising on securities	2018-03-13	2023-06-30
	RO	Asset management	2018-03-13	2023-06-30
	RO	Dealing in securities	2016-12-19	2023-06-30
oOo Securities (HK) Group Limited	RO	Dealing in futures contracts	2016-03-24	2016-10-21
	RO	Dealing in securities	2015-02-26	2016-10-21
	Rep	Dealing in securities	2015-01-09	2015-02-26
Hong Kong Securities (International) Company Limited	RO	Asset management	2014-06-11	2014-12-22
	RO	Advising on securities	2014-02-10	2014-12-22
	RO	Dealing in securities	2014-02-10	2014-12-22
	Rep	Advising on securities	2014-01-10	2014-02-10
	Rep	Dealing in securities	2014-01-10	2014-02-10
ICBC (Asia) Futures Company Limited	RO	Advising on futures contracts	2013-07-23	2013-12-17
	RO	Dealing in futures contracts	2013-07-23	2013-12-17
SDIC SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2011-06-28	2012-08-13
	RO	Dealing in securities	2011-06-28	2012-08-13
SDIC SECURITIES FUTURES (HONG KONG) LIMITED	RO	Advising on futures contracts	2010-10-25	2012-08-13
	RO	Dealing in futures contracts	2010-10-25	2012-08-13
SDIC Securities International Financial Holdings Limited	RO	Advising on securities	2010-10-13	2012-08-13
	RO	Dealing in securities	2010-10-13	2012-08-13
	Rep	Advising on securities	2010-09-07	2010-10-13
	Rep	Dealing in securities	2010-09-07	2010-10-13
HAITONG INTERNATIONAL FUTURES LIMITED	RO	Advising on futures contracts	2010-05-20	2010-08-18
	RO	Dealing in futures contracts	2010-05-20	2010-08-18
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	RO	Advising on securities	2010-05-20	2010-08-18
	RO	Dealing in securities	2010-05-20	2010-08-18
HAI TONG SECURITIES (HK) BROKERAGE LIMITED	RO	Advising on futures contracts	2009-12-16	2010-08-18
	RO	Advising on securities	2009-12-16	2010-08-18
	RO	Dealing in futures contracts	2009-09-03	2010-08-18
	RO	Dealing in securities	2009-09-03	2010-08-18
	Rep	Dealing in futures contracts	2009-08-18	2009-09-03
	Rep	Dealing in securities	2009-08-18	2009-09-03
ICBC INTERNATIONAL FUTURES LIMITED	RO	Dealing in futures contracts	2009-05-06	2009-08-13
ICBC INTERNATIONAL SECURITIES LIMITED	RO	Dealing in securities	2009-05-05	2009-08-13
	Rep	Dealing in securities	2009-03-16	2009-05-05
CES Capital International (Hong Kong) Co., Limited	RO	Dealing in futures contracts	2008-03-20	2009-03-04
	RO	Dealing in securities	2008-03-20	2009-03-04
CHINA INTERNATIONAL FUTURES (HONG KONG) COMPANY LIMITED	RO	Dealing in futures contracts	2005-09-21	2007-05-01
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2004-08-12	2005-03-17
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2004-07-16	2005-03-17
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2004-07-16	2005-03-17
Apricot Capital (Hong Kong) Limited	Rep	Dealing in securities	2003-11-10	2004-07-15
Public Financial Securities Limited	Rep	Advising on corporate finance	2003-04-01	2003-10-02
	Rep	Advising on securities	2003-04-01	2003-10-02
	Rep	Asset management	2003-04-01	2003-10-02
	Rep	Dealing in securities	2003-04-01	2003-10-02
Public Futures Limited	Rep	Advising on futures contracts	2003-04-01	2003-10-02
	Rep	Asset management	2003-04-01	2003-10-02
	Rep	Dealing in futures contracts	2003-04-01	2003-10-02