Personnel SFC Licences and HKMA Registrations (ID 90112)

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
XHK Limited	RO	Dealing in securities	2025-02-28	-
	RO	Dealing in futures contracts	2024-06-25	-
	Rep	Dealing in futures contracts	2024-04-29	2024-06-25
DA YUE Financial Group Limited	RO	Advising on futures contracts	2024-03-01	2024-03-25
	RO	Dealing in futures contracts	2024-03-01	2024-03-25
HONG KONG ASSET MANAGEMENT LIMITED	RO	Advising on futures contracts	2021-12-28	2022-12-31
	RO	Dealing in futures contracts	2021-12-28	2022-12-31
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	RO	Dealing in futures contracts	2019-07-08	2021-01-31
	Rep	Advising on futures contracts	2018-06-21	2021-01-31
	Rep	Dealing in futures contracts	2018-06-12	2019-07-08
BANDS Financial Limited	Rep	Dealing in futures contracts	2015-10-23	2018-05-21
Jefferies Hong Kong Limited	Rep	Dealing in futures contracts	2012-10-10	2015-05-15
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2012-08-13	2012-11-30
Newedge Broker Hong Kong Limited	Rep	Dealing in futures contracts	2010-05-10	2012-07-11
SG Asset Finance (Hong Kong) Limited	Rep	Dealing in futures contracts	2010-05-10	2012-07-11
	Rep	Dealing in securities	2010-05-10	2012-07-11
SINOPAC FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2010-02-17	2010-05-03
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2010-02-17	2010-05-03
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2008-08-11	2010-02-04
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2008-08-11	2010-02-04
BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2007-11-12	2008-02-22
BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2007-11-12	2008-02-22
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2007-07-17	2007-11-01
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2007-07-04	2007-11-01
ADMIS Hong Kong Limited	Rep	Dealing in futures contracts	2005-08-31	2007-06-23
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2005-06-24	2005-07-29

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.