Personnel Hong Kong SFC License Details (ID 80571)

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
Raising International Securities Limited	RO	Advising on securities	2023-11-03	2026-02-04
	RO	Asset management	2023-11-03	2026-02-04
	RO	Dealing in securities	2023-11-03	2026-02-04
	Rep	Advising on securities	2023-10-27	2023-11-03
	Rep	Asset management	2023-10-27	2023-11-03
MFG Limited (HK)	Rep	Advising on securities	2021-09-01	2023-09-27
	Rep	Asset management	2021-09-01	2023-09-27
Yunrui Securities Limited	RO	Dealing in securities	2020-08-11	2021-08-17
Yunrui Asset Management Limited	RO	Advising on securities	2020-05-25	2021-08-17
	RO	Asset management	2020-05-25	2021-08-17
Advent Securities (Hong Kong) Limited	RO	Dealing in securities	2019-10-11	2020-04-13
ROUNDHOUSE PARTNERS LTD	RO	Advising on securities	2019-04-02	2020-04-13
	RO	Asset management	2019-04-02	2020-04-13
Great Wall Pan Asia Asset Management Limited	Rep	Advising on securities	2016-01-05	2018-09-30
	Rep	Asset management	2016-01-05	2018-09-30
	Rep	Dealing in securities	2016-01-05	2018-09-30
RHB ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2014-08-28	2015-11-25
	Rep	Asset management	2014-08-28	2015-11-25
	Rep	Dealing in securities	2014-08-28	2015-11-25
BOCI SECURITIES LIMITED	Rep	Leveraged foreign exchange trading	2013-08-05	2014-08-15
	Rep	Dealing in futures contracts	2013-07-16	2014-08-15
	Rep	Dealing in securities	2013-07-16	2014-08-15
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2013-05-07	2013-05-24
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2013-05-07	2013-05-24
IMPERIUM INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in futures contracts	2013-04-08	2013-04-19
	Rep	Dealing in securities	2013-04-08	2013-04-19
Future Growth Financial Services Limited	Rep	Dealing in futures contracts	2011-04-19	2012-06-19
	Rep	Dealing in securities	2011-04-19	2012-06-19