Personnel Hong Kong SFC License Details (ID 79657)

Personnel Hong Kong SFC License Details (ID 79657)

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
Changjiang Securities Brokerage (HK) Limited	RO	Advising on futures contracts	2026-08-26	-
	RO	Advising on securities	2026-08-26	-
	RO	Dealing in futures contracts	2026-08-26	-
	RO	Dealing in securities	2026-08-26	-
	Rep	Dealing in securities	2026-07-30	2026-08-26
Lego Securities Limited	RO	Dealing in securities	2025-09-17	2026-07-10
	Rep	Dealing in securities	2025-08-25	2025-09-17
SDIC SECURITIES FUTURES (HONG KONG) LIMITED	RO	Advising on futures contracts	2025-04-09	2025-08-15
SDIC SECURITIES (HONG KONG) LIMITED	RO	Dealing in securities	2020-12-30	2025-08-15
SDIC SECURITIES FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2020-12-30	2025-08-15
SDIC SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2013-07-11	2020-12-30
SDIC SECURITIES FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2013-07-11	2020-12-30
FIRST SHANGHAI FUTURES LIMITED	Rep	Dealing in futures contracts	2010-01-11	2013-06-30
FIRST SHANGHAI SECURITIES LIMITED	Rep	Dealing in securities	2010-01-11	2013-06-30
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2008-06-25	2009-11-13
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-06-25	2009-11-13
CHIEF COMMODITIES LIMITED	Rep	Dealing in futures contracts	2007-06-25	2008-06-19
CHIEF SECURITIES LIMITED	Rep	Dealing in securities	2007-06-25	2008-06-19