Personnel Hong Kong SFC License Details (ID 83357)

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.

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Current only

Organisation	Role	Activity	From	Until
Funderstone Asset Management (HK) Limited	RO	Asset management	2024-01-15	-
Funderstone Futures Limited	RO	Asset management	2023-07-19	-
Funderstone Securities Limited	RO	Asset management	2023-05-03	-
Funderstone Futures Limited	RO	Advising on futures contracts	2019-09-04	-
	RO	Dealing in futures contracts	2019-09-04	-
Funderstone Securities Limited	RO	Advising on securities	2019-09-04	-
	RO	Dealing in securities	2019-09-04	-
DONGXING SECURITIES (HONG KONG) COMPANY LIMITED	RO	Dealing in securities	2016-02-03	2019-06-09
Ping An Securities (Hong Kong) Holdings Company Limited	RO	Dealing in securities	2013-03-14	2015-03-23
PING AN SECURITIES (HONG KONG) FUTURES COMPANY LIMITED	RO	Advising on futures contracts	2012-07-24	2015-03-22
	RO	Dealing in futures contracts	2012-07-24	2015-03-22
Ping An Securities (Hong Kong) Holdings Company Limited	Rep	Dealing in securities	2012-07-24	2013-03-14
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-11-23	2012-07-06
	Rep	Dealing in securities	2010-11-23	2012-07-06
XinKong International Securities Limited	Rep	Dealing in futures contracts	2009-12-03	2010-11-13
	Rep	Dealing in securities	2009-12-03	2010-11-13
BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2008-12-10	2009-11-20
BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2008-12-10	2009-11-20
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2008-05-30	2008-11-22
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2008-05-30	2008-11-22