Personnel SFC Licences and HKMA Registrations (ID 79812)

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
SHENG YUAN SECURITIES LIMITED	RO	Advising on securities	2026-08-26	-
	RO	Dealing in futures contracts	2026-08-26	-
	RO	Dealing in securities	2026-08-26	-
WEBULL SECURITIES LIMITED	RO	Dealing in futures contracts	2023-09-04	2026-03-25
	RO	Advising on securities	2023-05-31	2026-03-25
	RO	Dealing in securities	2021-03-09	2026-03-25
	Rep	Dealing in securities	2020-11-17	2021-03-09
SMART GRANDLY ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2020-03-04	2020-09-15
GRANDLY FINANCIAL SERVICES LIMITED	RO	Dealing in futures contracts	2018-10-23	2020-09-15
	RO	Dealing in securities	2018-10-23	2020-09-15
	Rep	Dealing in futures contracts	2018-08-15	2018-10-23
	Rep	Dealing in securities	2018-08-15	2018-10-23
Future Securities Limited (HK)	Rep	Dealing in futures contracts	2017-12-13	2018-07-31
	Rep	Dealing in securities	2017-12-13	2018-07-31
LUK FOOK FUTURES (HK) LIMITED	Rep	Dealing in futures contracts	2014-11-24	2017-11-30
LUK FOOK SECURITIES (HK) LIMITED	Rep	Dealing in securities	2014-11-24	2017-11-30
KGI ASIA LIMITED	Rep	Dealing in securities	2014-01-30	2014-11-14
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2014-01-30	2014-11-14
SINO-RICH SECURITIES &AMP; FUTURES LIMITED	Rep	Dealing in futures contracts	2011-09-15	2013-10-08
	Rep	Dealing in securities	2011-09-15	2013-10-08
KGI ASIA LIMITED	Rep	Dealing in securities	2009-12-16	2011-09-01
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-12-16	2011-09-01

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.