Personnel SFC Licences and HKMA Registrations (ID 88219)

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
SFG Fund Limited	RO	Asset management	2020-09-18	-
SFGHK Limited	RO	Advising on securities	2020-09-18	-
	RO	Dealing in securities	2020-09-18	-
SFG Fund Limited	Rep	Asset management	2020-09-07	2020-09-18
SFGHK Limited	Rep	Advising on securities	2020-09-07	2020-09-18
Blackhorn Wealth Management Limited	RO	Advising on securities	2019-08-22	2020-07-31
	RO	Asset management	2019-08-22	2020-07-31
	Rep	Advising on securities	2019-07-02	2019-08-22
	Rep	Asset management	2019-07-02	2019-08-22
Solshire International Capital Management (HK) Limited	RO	Advising on securities	2018-11-15	2019-05-10
	RO	Asset management	2018-11-15	2019-05-10
SFG Fund Limited	RO	Asset management	2017-12-05	2018-11-09
SFGHK Limited	RO	Advising on securities	2017-07-14	2018-11-09
	RO	Dealing in securities	2015-12-28	2018-11-09
FULBRIGHT FUTURES LIMITED	Rep	Dealing in futures contracts	2015-05-20	2015-11-06
FULBRIGHT SECURITIES LIMITED	Rep	Dealing in securities	2015-05-20	2015-11-06
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Dealing in futures contracts	2014-03-28	2015-05-15
	Rep	Dealing in securities	2014-03-28	2015-05-15
METRO CAPITAL SECURITIES LIMITED	Rep	Dealing in securities	2009-05-05	2014-03-24
KGI ASIA LIMITED	Rep	Dealing in securities	2009-02-12	2009-04-29
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-02-12	2009-04-29
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2008-12-03	2008-12-25
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2008-11-11	2008-12-25
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2008-11-11	2008-12-25
TIMES SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2007-11-07	2008-09-10
Quam Securities Limited	Rep	Dealing in futures contracts	2007-10-09	2007-10-13
	Rep	Dealing in securities	2007-10-09	2007-10-13
Funderstone Futures Limited	Rep	Dealing in futures contracts	2007-03-16	2007-09-21
Funderstone Securities Limited	Rep	Dealing in securities	2007-03-16	2007-09-21
Quam Securities Limited	Rep	Dealing in futures contracts	2004-10-26	2007-03-01
QUAM FUTURES LIMITED	Rep	Dealing in futures contracts	2004-03-01	2006-01-31
Quam Securities Limited	Rep	Dealing in securities	2004-03-01	2007-03-01
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Dealing in futures contracts	2003-10-20	2004-02-25
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2003-10-20	2004-02-25
WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED	Rep	Advising on futures contracts	2003-04-01	2003-08-16
	Rep	Asset management	2003-04-01	2003-08-16
	Rep	Providing automated trading services	2003-04-01	2003-08-16
	Rep	Dealing in futures contracts	2003-04-01	2003-08-16
WING ON CHEONG SECURITIES COMPANY LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-08-16
	Rep	Advising on securities	2003-04-01	2003-08-16
	Rep	Asset management	2003-04-01	2003-08-16
	Rep	Providing automated trading services	2003-04-01	2003-08-16
	Rep	Dealing in securities	2003-04-01	2003-08-16

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.