Personnel SFC Licences and HKMA Registrations (ID 91750)

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 FX Limited	Rep	Leveraged foreign exchange trading	2021-09-09	-
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2019-08-05	-
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2014-09-26	-
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2014-09-26	-
ZHONGTAI INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2013-02-25	2014-01-14
ZHONGTAI INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2013-02-25	2014-01-14
BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2012-09-26	2013-01-31
BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2012-09-26	2013-01-31
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2010-11-01	2012-03-27
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2010-09-22	2012-03-27
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2010-09-22	2012-03-27

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.