Personnel SFC Licences and HKMA Registrations (ID 85133)

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
SINOPAC SECURITIES (ASIA) LIMITED	RO	Advising on futures contracts	2024-07-10	-
	RO	Advising on securities	2024-07-10	-
	Rep	Asset management	2024-07-10	-
	Rep	Dealing in securities	2024-07-10	-
	Rep	Advising on futures contracts	2024-04-17	2024-07-10
	Rep	Advising on securities	2024-04-17	2024-07-10
SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED	RO	Advising on futures contracts	2022-05-12	2023-12-19
	RO	Advising on securities	2022-05-12	2023-12-19
	Rep	Advising on futures contracts	2019-10-04	2022-05-12
	Rep	Advising on securities	2019-09-17	2022-05-12
SUN GROWTH SECURITIES LIMITED	RO	Advising on securities	2019-01-07	2019-08-19
	Rep	Dealing in securities	2018-05-28	2019-06-05
KGI ASIA LIMITED	Rep	Advising on securities	2017-10-03	2018-03-23
	Rep	Advising on securities	2007-03-13	2017-10-02
CHINA TONGHAI (IA) LIMITED	Rep	Advising on securities	2006-06-28	2007-01-21

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.