Personnel SFC Licences and HKMA Registrations (ID 84316)

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
Apollo Asset Management Limited (HK)	RO	Advising on securities	2025-06-26	-
	RO	Asset management	2025-06-26	-
	Rep	Advising on securities	2025-05-30	2025-06-26
	Rep	Asset management	2025-05-30	2025-06-26
BG Asset Management Limited	RO	Advising on securities	2023-07-31	2025-05-19
	RO	Asset management	2023-07-31	2025-05-19
	Rep	Advising on securities	2022-06-27	2023-07-31
	Rep	Asset management	2022-06-27	2023-07-31
BG SECURITIES (HK) CO., LIMITED	RO	Dealing in securities	2021-06-21	2025-05-19
	Rep	Dealing in securities	2021-04-29	2021-06-21
DaoKou Asset Management Limited	Rep	Advising on securities	2021-02-08	2021-04-01
	Rep	Asset management	2021-02-08	2021-04-01
DaoKou Securities Limited	Rep	Dealing in securities	2021-02-08	2021-04-01
VISION CAPITAL INTERNATIONAL HOLDINGS LIMITED (HK)	RO	Advising on securities	2019-08-12	2020-08-14
	RO	Dealing in securities	2019-08-12	2020-08-14
	Rep	Advising on securities	2019-06-27	2019-08-12
	Rep	Dealing in securities	2019-06-27	2019-08-12
China Reserve Securities Limited	RO	Advising on securities	2018-05-31	2019-04-25
	RO	Dealing in securities	2018-05-31	2019-04-25
	Rep	Dealing in securities	2011-06-28	2018-05-31
MIB FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-07-30	2011-06-17
MIB SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2009-07-30	2011-06-17
FULBRIGHT FUTURES LIMITED	Rep	Dealing in futures contracts	2009-07-15	2009-07-22
FULBRIGHT SECURITIES LIMITED	Rep	Dealing in securities	2009-06-01	2009-07-22
ABCI Securities Company Limited	Rep	Dealing in securities	2007-06-18	2009-05-09
ROCTEC FUTURES TRADING COMPANY LIMITED	Rep	Dealing in futures contracts	2007-01-02	2007-05-14
ROCTEC SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2007-01-02	2007-05-14
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2006-11-23	2006-12-21
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2006-11-23	2006-12-21
GET NICE FUTURES COMPANY LIMITED	Rep	Dealing in futures contracts	2006-07-14	2006-09-05
GET NICE SECURITIES LIMITED	Rep	Dealing in securities	2006-05-25	2006-09-05
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Dealing in futures contracts	2006-04-10	2006-05-04
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2006-04-10	2006-05-04
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2004-07-02	2006-03-20
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2004-03-25	2006-03-20

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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