Personnel SFC Licences and HKMA Registrations (ID 83350)

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
Mirae Asset Securities (HK) Limited	Rep	Advising on securities	2026-10-21	-
	Rep	Dealing in futures contracts	2026-10-21	-
	Rep	Dealing in securities	2026-10-21	-
WEBULL SECURITIES LIMITED	RO	Advising on securities	2024-06-27	2026-09-09
	RO	Dealing in futures contracts	2024-06-27	2026-09-09
	RO	Dealing in securities	2024-06-27	2026-09-09
	Rep	Advising on securities	2024-05-03	2024-06-27
	Rep	Dealing in futures contracts	2024-05-03	2024-06-27
	Rep	Dealing in securities	2024-05-03	2024-06-27
Future Securities Limited (HK)	RO	Advising on futures contracts	2019-12-24	2024-03-15
	RO	Advising on securities	2019-12-24	2024-03-15
	RO	Asset management	2019-09-09	2024-03-15
	RO	Dealing in futures contracts	2017-07-31	2024-03-15
	RO	Dealing in securities	2017-07-31	2024-03-15
HK NOBLE SKY TREASURE SECURITIES LIMITED	RO	Dealing in futures contracts	2015-10-09	2017-07-11
	RO	Dealing in securities	2015-10-09	2017-07-11
	Rep	Dealing in futures contracts	2015-09-09	2015-10-09
	Rep	Dealing in securities	2015-09-09	2015-10-09
China Galaxy International Futures (Hong Kong) Co., Limited	Rep	Dealing in futures contracts	2015-03-18	2015-09-06
China Galaxy International Securities (Hong Kong) Co., Limited	Rep	Dealing in securities	2015-03-18	2015-09-06
Grand China Securities Limited	Rep	Dealing in securities	2013-11-15	2015-02-13
	Rep	Dealing in securities	2012-06-13	2013-08-30
YUE XIU FUTURES COMPANY LIMITED	Rep	Advising on futures contracts	2012-01-09	2013-11-07
	Rep	Dealing in futures contracts	2012-01-09	2013-11-07
HUA NAN SECURITIES (HK) LIMITED	Rep	Dealing in securities	2011-04-26	2011-11-18
	Rep	Dealing in futures contracts	2011-04-18	2011-11-18
YUE XIU FUTURES COMPANY LIMITED	Rep	Dealing in futures contracts	2010-11-02	2011-04-11

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.