Personnel Hong Kong SFC License Details (ID 79386)

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
JQ Securities (Hong Kong) Limited	RO	Advising on securities	2025-09-04	-
	RO	Asset management	2025-09-04	-
	RO	Dealing in securities	2025-09-04	-
oOo Securities (HK) Group Limited	RO	Advising on securities	2024-11-25	2025-05-21
	RO	Asset management	2024-11-25	2025-05-21
	RO	Dealing in securities	2024-11-25	2025-05-21
	Rep	Advising on securities	2024-10-14	2024-11-25
	Rep	Asset management	2024-10-14	2024-11-25
	Rep	Dealing in securities	2024-10-14	2024-11-25
FORTIS, SHERIFFS &AMP; BROWNS ASIA CO. LIMITED	RO	Asset management	2020-08-20	2024-07-14
oOo Securities (HK) Group Limited	RO	Asset management	2020-08-20	2023-04-28
orientiert International Markets Limited	RO	Asset management	2020-08-20	2023-04-28
FORTIS, SHERIFFS &AMP; BROWNS ASIA CO. LIMITED	RO	Advising on securities	2019-06-04	2024-07-14
	RO	Dealing in securities	2019-06-04	2024-07-14
oOo Securities (HK) Group Limited	RO	Advising on securities	2019-06-04	2023-04-28
	RO	Dealing in futures contracts	2019-06-04	2023-04-28
	RO	Dealing in securities	2019-06-04	2023-04-28
orientiert International Markets Limited	RO	Advising on securities	2019-06-04	2023-04-28
	RO	Dealing in securities	2019-06-04	2023-04-28
FORTIS, SHERIFFS &AMP; BROWNS ASIA CO. LIMITED	Rep	Advising on securities	2019-05-02	2019-06-04
	Rep	Dealing in securities	2019-05-02	2019-06-04
	Rep	Asset management	2019-05-02	2020-08-20
oOo Securities (HK) Group Limited	Rep	Advising on securities	2019-05-02	2019-06-04
	Rep	Dealing in securities	2019-05-02	2019-06-04
	Rep	Asset management	2019-05-02	2020-08-20
orientiert International Markets Limited	Rep	Advising on securities	2019-05-02	2019-06-04
	Rep	Dealing in securities	2019-05-02	2019-06-04
	Rep	Asset management	2019-05-02	2020-08-20
United Securities Limited (HK)	Rep	Asset management	2018-03-12	2019-03-31
	RO	Advising on securities	2017-09-20	2019-03-31
	RO	Dealing in securities	2017-09-20	2019-03-31
	Rep	Advising on securities	2017-09-07	2017-09-20
	Rep	Dealing in securities	2017-09-07	2017-09-20
Glory Sun Securities Limited	RO	Advising on securities	2017-06-13	2017-06-30
	RO	Dealing in futures contracts	2017-06-13	2017-06-30
	RO	Dealing in securities	2017-06-13	2017-06-30
	Rep	Advising on securities	2017-05-05	2017-06-13
	Rep	Dealing in futures contracts	2017-05-05	2017-06-13
	Rep	Dealing in securities	2017-05-05	2017-06-13
	Rep	Asset management	2017-05-05	2017-06-30
YUE XIU ASSET MANAGEMENT LIMITED	Rep	Asset management	2017-03-14	2017-04-07
YUE XIU FUTURES COMPANY LIMITED	RO	Advising on futures contracts	2015-12-09	2017-04-07
	RO	Dealing in futures contracts	2015-12-09	2017-04-07
	Rep	Advising on futures contracts	2015-11-06	2015-12-09
	Rep	Dealing in futures contracts	2015-11-06	2015-12-09
YUE XIU SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2015-11-06	2017-04-07
GUODU SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2013-03-05	2015-07-01
GUODU FUTURES (HONG KONG) LIMITED	RO	Advising on futures contracts	2012-12-04	2015-07-01
	RO	Dealing in futures contracts	2012-12-04	2015-07-01
GUOYUAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2012-03-21	2012-08-01
GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED	Rep	Dealing in securities	2012-03-21	2012-08-01
Well Link International Securities Limited	RO	Dealing in futures contracts	2011-11-21	2012-01-04
FORTUNE (HK) SECURITIES LIMITED	Rep	Dealing in securities	2011-01-03	2012-01-04
Well Link International Securities Limited	Rep	Dealing in futures contracts	2007-11-19	2011-11-21
WINWIN SECURITIES LIMITED	Rep	Dealing in securities	2007-08-01	2011-01-03
TAT LEE SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2006-10-25	2007-07-21