Personnel SFC Licences and HKMA Registrations (ID 85153)

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
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on securities	2021-06-18	-
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Dealing in futures contracts	2017-09-18	-
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2017-09-18	-
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2017-02-13	2017-09-10
	Rep	Dealing in securities	2017-02-13	2017-09-10
	Rep	Leveraged foreign exchange trading	2017-02-13	2017-09-10
	Rep	Dealing in futures contracts	2016-06-17	2017-02-12
	Rep	Dealing in securities	2016-06-17	2017-02-12
Tung Shing Securities (Brokers) Limited	Rep	Leveraged foreign exchange trading	2013-07-26	2017-02-12
Tung Shing Futures (Brokers) Limited	Rep	Dealing in futures contracts	2011-10-17	2017-02-12
Tung Shing Securities (Brokers) Limited	Rep	Dealing in securities	2011-10-17	2017-02-12
KGI ASIA LIMITED	Rep	Dealing in securities	2008-06-23	2011-10-04
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-06-23	2011-10-04
KGI SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2008-06-23	2011-10-04
CELESTIAL COMMODITIES LIMITED	Rep	Dealing in futures contracts	2006-07-04	2008-05-30
CELESTIAL SECURITIES LIMITED	Rep	Dealing in securities	2006-07-04	2008-05-30

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.