Personnel SFC Licences and HKMA Registrations (ID 79264)

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
TFI Securities and Futures Limited	RO	Dealing in securities	2025-02-04	-
	Rep	Dealing in futures contracts	2024-12-09	-
	Rep	Dealing in securities	2024-12-09	2025-02-04
VALUABLE CAPITAL LIMITED	RO	Dealing in securities	2020-11-04	2024-10-15
	Rep	Dealing in futures contracts	2020-11-03	2024-10-15
	Rep	Dealing in securities	2020-09-23	2020-11-04
STOCKWELL SECURITIES LIMITED	RO	Dealing in securities	2019-04-26	2020-08-31
	Rep	Dealing in securities	2013-03-18	2019-04-26
CVP Securities Limited	Rep	Dealing in securities	2010-03-29	2013-03-11
Yuanta Asia Investment (Hong Kong) Limited	Rep	Dealing in securities	2007-11-06	2010-03-24
Tung Shing Securities (Brokers) Limited	Rep	Advising on corporate finance	2003-04-01	2004-01-09
	Rep	Advising on securities	2003-04-01	2004-01-09
	Rep	Asset management	2003-04-01	2004-01-09
	Rep	Dealing in securities	2003-04-01	2007-11-02

HKMA registrations

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

Current registrations only

No HKMA registrations in the collected records.