Personnel SFC Licences and HKMA Registrations (ID 83398)

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
Linkways Investment Management Limited	RO	Advising on securities	2024-02-16	-
	RO	Dealing in futures contracts	2024-02-16	-
	RO	Dealing in securities	2024-02-16	-
	Rep	Advising on securities	2023-12-28	2024-02-16
	Rep	Dealing in futures contracts	2023-12-28	2024-02-16
	Rep	Dealing in securities	2023-12-28	2024-02-16
MFG Limited (HK)	RO	Advising on securities	2023-05-23	2023-09-21
	RO	Dealing in securities	2023-05-23	2023-09-21
	Rep	Advising on securities	2023-02-15	2023-05-23
	Rep	Dealing in securities	2023-02-15	2023-05-23
Ayers Alliance Securities (HK) Limited	RO	Advising on securities	2019-06-06	2022-07-15
	RO	Dealing in securities	2019-06-06	2022-07-15
MFG Limited (HK)	RO	Advising on securities	2017-10-24	2019-06-06
	RO	Dealing in securities	2017-10-24	2019-06-06
	RO	Advising on securities	2013-08-06	2014-04-16
	RO	Dealing in securities	2013-08-06	2014-04-16
	Rep	Asset management	2012-05-21	2013-08-06
	RO	Advising on futures contracts	2012-03-28	2023-09-21
	Rep	Advising on futures contracts	2012-03-01	2012-03-28
	Rep	Dealing in securities	2012-02-06	2013-08-06
	RO	Dealing in futures contracts	2012-02-06	2023-09-21
Well Link Securities Limited	RO	Dealing in futures contracts	2011-08-24	2011-12-31
	Rep	Dealing in futures contracts	2010-05-27	2011-08-24
	Rep	Dealing in securities	2010-04-28	2011-12-31
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2010-01-11	2010-04-17
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2007-08-23	2008-07-13
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2007-08-23	2008-07-13
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2007-08-23	2008-07-13
	Rep	Advising on futures contracts	2003-04-01	2004-02-19
	Rep	Asset management	2003-04-01	2004-02-19
	Rep	Dealing in futures contracts	2003-04-01	2006-12-13

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.