Personnel SFC Licences and HKMA Registrations (ID 85110)

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
YUE XIU SECURITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2024-10-03	-
	Rep	Advising on securities	2020-06-11	-
YUE XIU FUTURES COMPANY LIMITED	Rep	Dealing in futures contracts	2018-10-18	2024-07-26
YUE XIU SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2018-10-18	-
Yuanta Securities (Hong Kong) Company Limited	Rep	Advising on securities	2017-08-17	2018-09-28
	Rep	Dealing in futures contracts	2017-08-17	2018-09-28
	Rep	Dealing in securities	2017-08-17	2018-09-28
CATHAY SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2015-12-01	2017-07-31
	Rep	Dealing in securities	2015-10-20	2017-07-31
KGI SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2013-06-04	2015-10-11
KGI ASIA LIMITED	Rep	Dealing in securities	2010-06-11	2015-10-11
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-06-11	2015-10-11
CHRISTFUND SECURITIES LIMITED	Rep	Dealing in securities	2007-08-15	2010-05-29

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.