Personnel Hong Kong SFC License Details (ID 81557)

Personnel Hong Kong SFC License Details (ID 81557)

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
CMB International Global Markets Limited	RO	Dealing in securities	2026-07-15	-
CMB International Securities Limited	RO	Dealing in securities	2026-07-15	-
CMB International Global Markets Limited	Rep	Advising on securities	2022-08-29	-
	Rep	Dealing in securities	2021-09-17	2026-07-15
CMB International Securities Limited	Rep	Advising on securities	2017-08-24	-
	Rep	Dealing in securities	2017-08-24	2026-07-15
ICBC INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2014-12-31	2017-07-14
	Rep	Asset management	2014-12-31	2017-07-14
ICBC INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2014-10-14	2017-07-14
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in futures contracts	2014-10-14	2017-07-14
	Rep	Dealing in securities	2014-10-14	2017-07-14
Ark Securities (Hong Kong) Limited	Rep	Dealing in securities	2011-08-11	2014-10-03
PROVIDENT FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2011-08-11	2014-10-03