Personnel Hong Kong SFC License Details (ID 92293)

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
Quam Securities Limited	Rep	Asset management	2021-11-01	-
	RO	Dealing in futures contracts	2020-09-01	-
	Rep	Dealing in futures contracts	2020-06-29	2020-09-01
	RO	Advising on securities	2019-03-14	-
	RO	Dealing in securities	2019-03-14	-
	Rep	Advising on securities	2018-12-28	2019-03-14
	Rep	Dealing in securities	2018-12-28	2019-03-14
China Galaxy International Futures (Hong Kong) Co., Limited	RO	Dealing in futures contracts	2017-05-29	2018-12-04
China Galaxy International Securities (Hong Kong) Co., Limited	RO	Advising on securities	2017-05-29	2018-12-04
	RO	Dealing in securities	2017-05-29	2018-12-04
China Galaxy International Futures (Hong Kong) Co., Limited	Rep	Dealing in futures contracts	2017-04-07	2017-05-29
China Galaxy International Securities (Hong Kong) Co., Limited	Rep	Advising on securities	2017-01-20	2017-05-29
	Rep	Dealing in securities	2017-01-20	2017-05-29
CMBC International Securities Limited	RO	Advising on securities	2016-11-30	2017-01-06
	RO	Dealing in securities	2016-11-30	2017-01-06
Quam Securities Limited	RO	Advising on securities	2016-02-03	2016-05-31
	RO	Dealing in futures contracts	2016-02-03	2016-05-31
	RO	Dealing in securities	2016-02-03	2016-05-31
	Rep	Advising on securities	2016-01-13	2016-02-03
	Rep	Dealing in futures contracts	2016-01-13	2016-02-03
	Rep	Dealing in securities	2016-01-13	2016-02-03
RHB FUTURES HONG KONG LIMITED	RO	Dealing in futures contracts	2012-10-10	2015-06-17
RHB SECURITIES HONG KONG LIMITED	RO	Dealing in securities	2012-10-10	2015-06-17
RHB FUTURES HONG KONG LIMITED	Rep	Dealing in futures contracts	2012-09-07	2012-10-10
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2012-09-07	2012-10-10
PIPER JAFFRAY ASIA SECURITIES LIMITED	RO	Dealing in futures contracts	2012-01-19	2012-08-25
	RO	Dealing in securities	2012-01-19	2012-08-25
PIPER JAFFRAY ASIA FUTURES LIMITED	Rep	Dealing in futures contracts	2005-03-21	2012-08-25
PIPER JAFFRAY ASIA SECURITIES LIMITED	Rep	Dealing in securities	2005-03-21	2012-01-19
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Dealing in futures contracts	2004-08-27	2005-03-21
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2004-02-18	2005-03-21
CELESTIAL COMMODITIES LIMITED	Rep	Providing automated trading services	2003-10-24	2004-02-03
	Rep	Dealing in futures contracts	2003-10-24	2004-02-03
CELESTIAL FINANCE LIMITED	Rep	Securities margin financing	2003-10-24	2004-01-09
CELESTIAL SECURITIES LIMITED	Rep	Providing automated trading services	2003-10-24	2004-02-03
	Rep	Dealing in securities	2003-10-24	2004-02-03