Personnel SFC Licences and HKMA Registrations (ID 83666)

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
GUOYUAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2016-10-05	-
GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED	Rep	Dealing in securities	2016-10-05	-
ORIENT FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2012-07-18	2016-08-26
ORIENT SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2012-07-18	2016-08-26
RHB FUTURES HONG KONG LIMITED	Rep	Dealing in futures contracts	2012-06-29	2012-07-10
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2012-06-29	2012-07-10
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2009-09-15	2012-05-28
ICBC INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2009-08-20	2012-05-28
SHANXI SECURITIES INTERNATIONAL FINANCIAL HOLDINGS LIMITED	Rep	Dealing in futures contracts	2008-11-11	2009-08-07
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2008-07-31	2008-10-23
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2008-01-22	2008-10-23

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.