Personnel Hong Kong SFC License Details (ID 89866)

Personnel Hong Kong SFC License Details (ID 89866)

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
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2022-06-23	2025-10-14
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2022-06-23	2025-10-14
	RO	Dealing in securities	2022-06-23	2025-10-14
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2022-02-07	2022-06-23
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2022-02-07	2022-06-23
	Rep	Dealing in securities	2022-02-07	2022-06-23
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	RO	Dealing in futures contracts	2019-01-04	2020-02-07
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Dealing in securities	2019-01-04	2020-02-07
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Dealing in futures contracts	2018-08-07	2019-01-04
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2018-08-07	2019-01-04
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2010-12-06	2018-04-23
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2008-01-02	2013-09-05
	Rep	Dealing in securities	2008-01-02	2018-04-23
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2008-01-02	2010-12-06
	Rep	Dealing in futures contracts	2008-01-02	2010-12-06
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in securities	2008-01-02	2010-01-08