Personnel SFC Licences and HKMA Registrations (ID 82089)

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
LUK FOOK FUTURES (HK) LIMITED	Rep	Dealing in futures contracts	2021-03-11	-
LUK FOOK SECURITIES (HK) LIMITED	Rep	Dealing in securities	2021-03-11	-
Mason Securities Limited	Rep	Asset management	2020-07-13	2021-03-05
MASON INVESTMENT MANAGEMENT LIMITED	RO	Advising on securities	2020-03-26	2021-03-05
	RO	Dealing in securities	2020-03-26	2021-03-05
Mason Securities Limited	RO	Advising on securities	2020-03-26	2021-03-05
ZHONG ZHENG INTERNATIONAL FUTURES LIMITED	RO	Advising on futures contracts	2020-03-26	2021-03-05
	RO	Dealing in futures contracts	2020-03-26	2021-03-05
Mason Securities Limited	RO	Dealing in securities	2019-11-27	2021-03-05
	Rep	Dealing in securities	2019-07-16	2019-11-27
	Rep	Advising on securities	2019-07-16	2020-03-26
ZHONG ZHENG INTERNATIONAL FUTURES LIMITED	Rep	Advising on futures contracts	2019-07-16	2020-03-26
	Rep	Dealing in futures contracts	2019-07-16	2020-03-26
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Leveraged foreign exchange trading	2004-01-28	2019-06-25
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Advising on futures contracts	2003-04-01	2003-10-14
	Rep	Asset management	2003-04-01	2003-10-14
	Rep	Providing automated trading services	2003-04-01	2003-10-14
	Rep	Dealing in futures contracts	2003-04-01	2019-06-25
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-09-29
	Rep	Asset management	2003-04-01	2003-09-29
	Rep	Providing automated trading services	2003-04-01	2003-09-29
	Rep	Advising on securities	2003-04-01	2003-10-14
	Rep	Dealing in securities	2003-04-01	2019-06-25

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.