Personnel SFC Licences and HKMA Registrations (ID 82076)

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
EAST ASIA FUTURES LIMITED	Rep	Dealing in futures contracts	2025-06-18	-
EAST ASIA SECURITIES COMPANY LIMITED	Rep	Advising on securities	2025-06-18	-
	Rep	Dealing in securities	2025-06-18	-
ZHONGTAI INTERNATIONAL FUTURES LIMITED	RO	Dealing in futures contracts	2018-04-11	2025-05-31
ZHONGTAI INTERNATIONAL SECURITIES LIMITED	RO	Advising on securities	2018-04-11	2025-05-31
	RO	Dealing in securities	2018-04-11	2025-05-31
ZHONGTAI INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2018-02-07	2018-04-11
ZHONGTAI INTERNATIONAL SECURITIES LIMITED	Rep	Advising on securities	2018-02-07	2018-04-11
	Rep	Dealing in securities	2018-02-07	2018-04-11
Lion Futures Limited	RO	Advising on futures contracts	2017-10-16	2017-11-30
	RO	Dealing in futures contracts	2017-10-16	2017-11-30
Lion International Securities Group Limited	RO	Advising on securities	2017-10-16	2017-11-30
	RO	Dealing in securities	2017-10-16	2017-11-30
Lion Futures Limited	Rep	Advising on futures contracts	2017-07-12	2017-10-16
	Rep	Dealing in futures contracts	2017-07-12	2017-10-16
Lion International Securities Group Limited	Rep	Advising on securities	2017-07-12	2017-10-16
	Rep	Dealing in securities	2017-07-12	2017-10-16
Yunfeng Financial Markets Limited	RO	Dealing in securities	2017-06-09	2017-06-30
Yunfeng Securities Limited	RO	Dealing in securities	2017-06-09	2017-06-30
Yunfeng Financial Markets Limited	Rep	Dealing in securities	2017-03-30	2017-06-09
Yunfeng Securities Limited	Rep	Dealing in securities	2017-03-30	2017-06-09
SDIC SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2015-06-15	2017-02-16
SDIC SECURITIES FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2015-06-15	2017-02-16
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2008-03-06	2015-05-30
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2007-06-22	2015-05-30

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.