Personnel Hong Kong SFC License Details (ID 85545)

Key Data SFC Licenses 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
Trendman Capital Limited	RO	Advising on securities	2024-10-10	2025-01-30
	RO	Asset management	2024-10-10	2025-01-30
DA YUE Financial Group Limited	Rep	Advising on futures contracts	2024-01-24	2024-06-28
	Rep	Dealing in futures contracts	2024-01-24	2024-06-28
SOPHIA SECURITIES (INTERNATIONAL) LIMITED	RO	Advising on securities	2022-12-09	2024-06-28
	RO	Asset management	2022-12-09	2024-06-28
	RO	Dealing in securities	2022-12-09	2024-06-28
GREAT BAY SECURITIES LIMITED	RO	Advising on securities	2018-10-23	2022-05-06
	RO	Asset management	2018-10-23	2022-05-06
	RO	Dealing in securities	2018-10-23	2022-05-06
	Rep	Advising on securities	2018-10-19	2018-10-23
	Rep	Asset management	2018-10-19	2018-10-23
	Rep	Dealing in securities	2018-10-19	2018-10-23
MANGO FINANCIAL LIMITED	RO	Advising on corporate finance	2018-01-29	2018-09-30
	RO	Advising on securities	2018-01-29	2018-09-30
	RO	Asset management	2018-01-29	2018-09-30
	Rep	Advising on corporate finance	2016-01-12	2018-01-29
	Rep	Advising on securities	2016-01-12	2018-01-29
	Rep	Asset management	2016-01-12	2018-01-29
	RO	Dealing in securities	2016-01-12	2018-09-30
	Rep	Advising on corporate finance	2014-11-10	2015-02-16
	Rep	Advising on securities	2014-11-10	2015-02-16
	Rep	Asset management	2014-11-10	2015-02-16
	Rep	Dealing in securities	2014-10-14	2016-01-12
OCBC Futures Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2013-09-02	2014-10-01
OCBC Securities Brokerage (Hong Kong) Limited	Rep	Dealing in securities	2013-09-02	2014-10-01
CNI Securities Group Limited	Rep	Dealing in securities	2011-09-30	2013-08-03
KINGSTON SECURITIES LIMITED	Rep	Dealing in securities	2011-01-25	2011-09-16