Personnel SFC Licences and HKMA Registrations (ID 80605)

Key Data Licences & registrations 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
SHACOM FUTURES LIMITED	RO	Advising on futures contracts	2024-09-20	-
	RO	Dealing in futures contracts	2024-09-20	-
Shacom Securities Limited	RO	Advising on securities	2024-09-20	-
	RO	Dealing in securities	2024-09-20	-
SR Wealth Securities Limited	RO	Asset management	2022-05-20	2024-02-28
	RO	Dealing in futures contracts	2021-11-18	2024-02-28
	RO	Advising on securities	2020-02-18	2024-02-28
	RO	Dealing in securities	2020-02-18	2024-02-28
	Rep	Advising on securities	2019-12-23	2020-02-18
	Rep	Dealing in securities	2019-12-23	2020-02-18
Major Asset Management Limited	RO	Advising on securities	2018-08-29	2019-12-04
	RO	Asset management	2018-08-29	2019-12-04
	RO	Dealing in securities	2018-08-29	2019-12-04
Goldin Equities Limited	RO	Dealing in futures contracts	2011-09-01	2016-06-06
	RO	Dealing in securities	2011-09-01	2016-06-06
	Rep	Dealing in futures contracts	2010-04-12	2011-09-01
	Rep	Dealing in securities	2010-04-12	2011-09-01
DBS VICKERS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-10-09	2010-04-02
	Rep	Dealing in securities	2009-10-09	2010-04-02
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2007-01-29	2009-10-04
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-01-29	2009-10-04
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2005-10-19	2006-10-26
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2005-10-19	2006-10-26
	Rep	Leveraged foreign exchange trading	2005-10-19	2006-10-26
CELESTIAL SECURITIES LIMITED	Rep	Leveraged foreign exchange trading	2004-11-15	2005-07-07
CELESTIAL COMMODITIES LIMITED	Rep	Dealing in futures contracts	2004-04-27	2005-07-07
CELESTIAL SECURITIES LIMITED	Rep	Dealing in securities	2004-04-27	2005-07-07

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.