Personnel Hong Kong SFC License Details (ID 82382)

Personnel Hong Kong SFC License Details (ID 82382)

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
CNCB (Hong Kong) Capital Limited	RO	Dealing in securities	2020-07-03	-
	Rep	Advising on securities	2020-02-07	-
	Rep	Asset management	2020-02-07	-
	Rep	Dealing in securities	2020-01-02	2020-07-03
Yunfeng Financial Markets Limited	RO	Dealing in securities	2016-11-22	2019-11-04
Yunfeng Securities Limited	RO	Dealing in securities	2016-11-22	2019-11-04
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2015-05-04	2016-09-18
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2015-05-04	2016-09-18
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2015-05-04	2016-09-18
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Leveraged foreign exchange trading	2012-03-23	2015-04-14
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2008-12-08	2015-04-14
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2008-12-08	2015-04-14