Personnel Hong Kong SFC License Details (ID 81860)

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
MIB SECURITIES (HONG KONG) LIMITED	RO	Advising on futures contracts	2024-11-15	-
	RO	Dealing in futures contracts	2024-11-15	-
MIB FUTURES (HONG KONG) LIMITED	RO	Advising on futures contracts	2023-12-27	2026-03-04
	RO	Dealing in futures contracts	2023-12-27	2026-03-04
MIB SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2023-12-27	-
	RO	Dealing in securities	2023-12-27	-
MIB FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2023-10-20	2023-12-27
	Rep	Dealing in futures contracts	2023-10-20	2023-12-27
MIB SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2023-10-20	2023-12-27
	Rep	Dealing in securities	2023-10-20	2023-12-27
SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED	Rep	Advising on futures contracts	2023-05-23	2023-10-13
	Rep	Advising on securities	2023-05-23	2023-10-13
	RO	Advising on futures contracts	2021-02-26	2023-05-23
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	RO	Dealing in futures contracts	2020-05-12	2023-10-13
SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED	RO	Advising on securities	2020-05-12	2023-05-23
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	RO	Dealing in securities	2020-05-12	2023-10-13
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2020-03-13	2020-05-12
SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED	Rep	Advising on securities	2020-03-13	2020-05-12
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2020-03-13	2020-05-12
CITIC Securities Brokerage (HK) Limited	RO	Advising on securities	2018-03-07	2020-02-28
	RO	Dealing in securities	2017-10-20	2020-02-28
CITIC Securities Futures (HK) Limited	RO	Dealing in futures contracts	2017-10-20	2020-02-28
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2015-04-20	2017-10-20
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2015-04-20	2017-10-20
China Securities (International) Brokerage Company Limited	Rep	Advising on futures contracts	2014-11-25	2015-02-16
	Rep	Dealing in futures contracts	2014-11-25	2015-02-16
	Rep	Advising on securities	2013-09-23	2015-02-16
	Rep	Dealing in securities	2013-09-23	2015-02-16
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2011-09-07	2013-09-08