Personnel Hong Kong SFC License Details (ID 79633)

Personnel Hong Kong SFC License Details (ID 79633)

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
CFTC ASSET MANAGEMENT (HONG KONG) LIMITED	RO	Advising on securities	2025-11-28	2026-08-14
	RO	Asset management	2025-11-28	2026-08-14
	Rep	Advising on securities	2025-09-29	2025-11-28
	Rep	Asset management	2025-09-29	2025-11-28
AA Capital Limited (HK)	RO	Advising on securities	2024-10-14	2025-09-01
	RO	Asset management	2024-10-14	2025-09-01
NFH Securities and Futures Limited	Rep	Dealing in futures contracts	2023-04-04	2024-05-27
	Rep	Dealing in securities	2023-04-04	2024-05-27
FIRST SHANGHAI FUTURES LIMITED	RO	Advising on futures contracts	2019-08-27	2022-10-21
FIRST SHANGHAI SECURITIES LIMITED	RO	Dealing in securities	2009-11-13	2022-10-21
FIRST SHANGHAI FUTURES LIMITED	RO	Dealing in futures contracts	2007-11-30	2022-10-21
	Rep	Dealing in futures contracts	2003-04-26	2007-11-30
FIRST SHANGHAI SECURITIES LIMITED	Rep	Dealing in securities	2003-04-26	2009-11-13