Personnel SFC Licences and HKMA Registrations (ID 83392)

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
Core Capital Securities Limited	Rep	Dealing in securities	2020-10-28	-
JT CAPITAL ASSET MANAGEMENT LIMITED	Rep	Asset management	2020-10-28	-
	Rep	Dealing in securities	2020-10-28	2020-12-16
SOUTH CHINA COMMODITIES LIMITED	RO	Dealing in futures contracts	2019-03-13	2019-10-08
SOUTH CHINA SECURITIES LIMITED	RO	Dealing in securities	2019-03-13	2019-10-08
South China Investment Management Limited	Rep	Asset management	2019-01-02	2019-10-08
SOUTH CHINA COMMODITIES LIMITED	Rep	Dealing in futures contracts	2018-12-03	2019-03-13
South China Forex Limited	Rep	Leveraged foreign exchange trading	2018-12-03	2019-10-08
SOUTH CHINA SECURITIES LIMITED	Rep	Dealing in securities	2018-12-03	2019-03-13
South China Forex Limited	Rep	Leveraged foreign exchange trading	2017-05-11	2017-11-30
SOUTH CHINA COMMODITIES LIMITED	RO	Dealing in futures contracts	2017-02-07	2017-11-30
SOUTH CHINA SECURITIES LIMITED	RO	Dealing in securities	2017-02-07	2017-11-30
SOUTH CHINA COMMODITIES LIMITED	Rep	Dealing in futures contracts	2016-10-14	2017-02-07
SOUTH CHINA SECURITIES LIMITED	Rep	Dealing in securities	2016-10-14	2017-02-07
PING AN SECURITIES (HONG KONG) FUTURES COMPANY LIMITED	Rep	Dealing in futures contracts	2012-10-05	2016-10-05
Ping An Securities (Hong Kong) Holdings Company Limited	Rep	Dealing in securities	2012-10-05	2016-10-05
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-12-08	2012-09-21
	Rep	Dealing in securities	2010-12-08	2012-09-21
XinKong International Securities Limited	Rep	Dealing in futures contracts	2009-12-18	2010-11-25
	Rep	Dealing in securities	2009-12-18	2010-11-25
BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2009-10-08	2009-12-01
BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2009-10-08	2009-12-01
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2007-12-27	2008-10-12
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2007-12-27	2008-10-12

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.