Personnel Hong Kong SFC License Details (ID 79285)

Personnel Hong Kong SFC License Details (ID 79285)

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
Golden Rich Securities Limited	Rep	Dealing in securities	2016-05-26	2022-05-23
CVP Securities Limited	Rep	Dealing in futures contracts	2007-12-28	2016-05-18
	Rep	Dealing in securities	2007-12-28	2016-05-18
ENLIGHTEN FUTURES LIMITED	Rep	Dealing in futures contracts	2005-11-07	2007-12-10
ENLIGHTEN SECURITIES LIMITED	Rep	Dealing in securities	2005-11-07	2007-12-10
CVP Securities Limited	Rep	Dealing in futures contracts	2005-06-01	2005-10-22
	Rep	Dealing in securities	2004-08-03	2005-10-22
PIPER JAFFRAY ASIA FUTURES LIMITED	Rep	Dealing in futures contracts	2004-03-03	2004-07-29
PIPER JAFFRAY ASIA SECURITIES LIMITED	Rep	Advising on corporate finance	-	2004-03-03
	Rep	Advising on securities	-	2004-03-03
	Rep	Asset management	-	2004-03-03
	Rep	Dealing in securities	-	2004-07-29