Personnel SFC Licences and HKMA Registrations (ID 82352)

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	2023-06-15	-
EAST ASIA SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2023-06-15	-
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on securities	2022-12-13	2022-12-30
	Rep	Leveraged foreign exchange trading	2004-01-29	2019-11-19
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Advising on futures contracts	2003-04-01	2003-09-26
	Rep	Asset management	2003-04-01	2003-09-26
	Rep	Providing automated trading services	2003-04-01	2003-09-26
	Rep	Dealing in futures contracts	2003-04-01	2022-12-30
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-09-26
	Rep	Advising on securities	2003-04-01	2003-09-26
	Rep	Asset management	2003-04-01	2003-09-26
	Rep	Providing automated trading services	2003-04-01	2003-09-26
	Rep	Dealing in securities	2003-04-01	2022-12-30

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

HKMA registration number: AJ2466

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
東亞銀行有限公司	Dealing in securities	Non-EO	BUSINESS MANAGER	2023-06-24	—	Current