Personnel Hong Kong SFC License Details (ID 82341)

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
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2023-04-21	-
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on securities	2023-04-21	-
	Rep	Dealing in securities	2023-04-21	-
FIL Investment Management (Hong Kong) Limited	Rep	Dealing in securities	2023-01-10	2023-01-16
SoFi Securities (Hong Kong) Limited	Rep	Advising on securities	2020-03-13	2022-11-25
	Rep	Dealing in securities	2020-01-15	2022-11-25
VALUABLE CAPITAL LIMITED	Rep	Dealing in futures contracts	2019-12-16	2019-12-31
	Rep	Dealing in securities	2019-12-16	2019-12-31
Glory Sun Securities Limited	Rep	Asset management	2018-10-05	2019-10-25
	Rep	Dealing in futures contracts	2018-10-05	2019-10-25
	Rep	Dealing in securities	2018-09-13	2019-10-25
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2017-10-18	2018-08-24
Soochow Securities International Brokerage Limited	Rep	Dealing in securities	2016-03-10	2017-09-25
Soochow Securities International Futures Limited	Rep	Dealing in futures contracts	2016-03-10	2017-09-25
BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2012-03-19	2016-02-29
BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2012-03-19	2016-02-29
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2012-01-06	2012-03-01
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2012-01-06	2012-03-01
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2012-01-06	2012-03-01
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Leveraged foreign exchange trading	2011-05-26	2011-12-14
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2011-02-25	2011-12-14
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2011-02-25	2011-12-14
WING FUNG FUTURES LIMITED	Rep	Dealing in futures contracts	2010-10-25	2011-01-13
WING FUNG SECURITIES LIMITED	Rep	Dealing in securities	2010-10-25	2011-01-13
BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2010-05-04	2010-07-15
BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2010-05-04	2010-07-15