Personnel Hong Kong SFC License Details (ID 88439)

Personnel Hong Kong SFC License Details (ID 88439)

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
Cosmos One Capital Limited	Rep	Dealing in securities	2025-05-06	-
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Advising on securities	2018-12-07	2022-04-14
	Rep	Dealing in securities	2018-12-07	2022-04-14
Guosen Securities (HK) Brokerage Company, Limited	Rep	Advising on securities	2014-03-05	2018-11-23
	Rep	Dealing in securities	2014-03-05	2018-11-23
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2013-08-19	2014-02-11
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2013-05-27	2014-02-11
Mirae Asset Securities (HK) Limited	Rep	Dealing in securities	2010-01-05	2013-04-10
BEAR STEARNS ASIA LIMITED	Rep	Dealing in futures contracts	2007-04-24	2009-02-28
	Rep	Dealing in securities	2007-04-24	2009-02-28
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2006-08-15	2007-04-14
Merrill Lynch Far East Limited	Rep	Dealing in securities	2006-08-15	2007-04-14
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2006-08-15	2007-04-14