Personnel Hong Kong SFC License Details (ID 91596)

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
ZHESHANG INTERNATIONAL FINANCIAL HOLDINGS CO., LIMITED	Rep	Dealing in futures contracts	2022-03-29	2024-06-19
	Rep	Dealing in securities	2022-03-29	2024-06-19
VERCAP Financial Services Limited	RO	Dealing in futures contracts	2021-02-05	2021-03-31
	Rep	Dealing in futures contracts	2021-01-29	2021-02-05
ZHENG DA INTERNATIONAL FINANCIAL HOLDING LIMITED	RO	Advising on futures contracts	2019-11-04	2020-07-31
	RO	Dealing in futures contracts	2019-11-04	2020-07-31
XUANTIE INTERNATIONAL INVESTMENT CO., LIMITED	RO	Advising on futures contracts	2019-01-03	2019-03-17
	RO	Dealing in futures contracts	2019-01-03	2019-03-17
Central Universe Futures Limited	Rep	Advising on futures contracts	2018-06-13	2018-07-23
	Rep	Dealing in futures contracts	2018-06-13	2018-07-23
FULBRIGHT FUTURES LIMITED	Rep	Advising on futures contracts	2018-03-08	2018-04-18
	Rep	Dealing in futures contracts	2018-03-08	2018-04-18
Grand International Futures Co., Limited	RO	Advising on futures contracts	2017-10-03	2018-02-19
	RO	Dealing in futures contracts	2017-10-03	2018-02-19
Golden Hen Securities and Futures Limited	RO	Dealing in futures contracts	2016-10-31	2017-01-31
	RO	Dealing in securities	2016-10-31	2017-01-31
	Rep	Dealing in futures contracts	2016-10-03	2016-10-31
	Rep	Dealing in securities	2016-10-03	2016-10-31
SHANXI SECURITIES INTERNATIONAL FINANCIAL HOLDINGS LIMITED	Rep	Dealing in futures contracts	2016-02-22	2016-09-24
SHANXI SECURITIES INTERNATIONAL LIMITED	Rep	Dealing in securities	2016-02-22	2016-09-24
Rifa Securities Limited	Rep	Dealing in securities	2015-07-13	2016-02-12
Rifa Futures Limited	Rep	Dealing in futures contracts	2015-06-26	2016-02-12
Lee Kee Store Company Limited	Rep	Dealing in futures contracts	2015-04-01	2015-05-06
Holly International Financial Holdings Limited	Rep	Dealing in futures contracts	2013-02-05	2015-03-02
GOLDEN MOUNTAIN FINANCIAL LIMITED	Rep	Dealing in futures contracts	2012-09-26	2012-12-07
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2011-07-21	2012-09-22
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2011-07-21	2012-09-22
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2010-12-17	2011-06-18
Yuanta Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2010-06-22	2010-12-08
	Rep	Dealing in securities	2010-06-22	2010-12-08