Personnel Hong Kong SFC License Details (ID 90971)

Personnel Hong Kong SFC License Details (ID 90971)

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
Atlantic Asset Management Limited	RO	Asset management	2025-07-17	-
Glory Sun Securities Limited	RO	Asset management	2025-03-13	-
	RO	Advising on securities	2024-03-01	-
	RO	Dealing in securities	2024-03-01	-
Atlantic Asset Management Limited	Rep	Asset management	2024-02-06	2025-07-17
	RO	Advising on securities	2023-08-22	-
Glory Sun Securities Limited	Rep	Dealing in futures contracts	2020-05-15	2022-09-20
	Rep	Dealing in securities	2020-05-15	2024-03-01
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2020-03-10	2020-05-05
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2020-03-10	2020-05-05
YUE XIU FUTURES COMPANY LIMITED	Rep	Dealing in futures contracts	2018-02-26	2020-01-17
YUE XIU SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2018-02-26	2020-01-17
CMBC INTERNATIONAL FUTURES COMPANY LIMITED	Rep	Dealing in futures contracts	2017-11-06	2018-02-02
CMBC SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2017-11-06	2018-02-02
FORMAX SECURITIES LIMITED	Rep	Dealing in futures contracts	2016-02-11	2017-11-03
	Rep	Dealing in securities	2016-02-11	2017-11-03
Marex Hong Kong Limited	Rep	Dealing in futures contracts	2012-02-02	2013-06-24
OKACHI (HONG KONG) COMPANY LIMITED	Rep	Dealing in futures contracts	2010-01-27	2012-01-07
OKACHI INVESTMENTS (HK) COMPANY LIMITED	Rep	Dealing in securities	2010-01-27	2012-01-07