Personnel Hong Kong SFC License Details (ID 79299)

Personnel Hong Kong SFC License Details (ID 79299)

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
TFI Securities and Futures Limited	Rep	Dealing in securities	2024-11-06	-
VALUABLE CAPITAL LIMITED	Rep	Dealing in securities	2023-02-27	2024-10-31
China Galaxy International Securities (Hong Kong) Co., Limited	Rep	Dealing in securities	2017-04-24	2023-01-26
FULBRIGHT SECURITIES LIMITED	Rep	Dealing in securities	2015-05-14	2017-04-19
China Galaxy International Securities (Hong Kong) Co., Limited	Rep	Dealing in securities	2012-03-05	2015-05-09
CVP Securities Limited	Rep	Dealing in securities	2010-05-03	2012-03-01
Yuanta Asia Investment (Hong Kong) Limited	Rep	Dealing in securities	2005-04-01	2010-04-28
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2004-02-16	2005-04-01
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2003-06-27	2004-02-12
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-04-11
	Rep	Advising on securities	2003-04-01	2003-04-11
	Rep	Asset management	2003-04-01	2003-04-11
	Rep	Providing automated trading services	2003-04-01	2003-04-11
	Rep	Dealing in securities	2003-04-01	2003-04-11
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-04-11
	Rep	Advising on securities	2003-04-01	2003-04-11
	Rep	Asset management	2003-04-01	2003-04-11
	Rep	Providing automated trading services	2003-04-01	2003-04-11
	Rep	Dealing in securities	2003-04-01	2003-04-11