Personnel Hong Kong SFC License Details (ID 92340)

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
OSL DIGITAL SECURITIES LIMITED OSL	Rep	Providing automated trading services	2026-05-11	-
	RO	Dealing in securities	2026-05-11	-
	Rep	Dealing in securities	2026-03-17	2026-05-11
VICTORY SECURITIES COMPANY LIMITED	Rep	Advising on securities	2024-09-09	2025-12-16
	Rep	Asset management	2024-09-09	2025-12-16
	Rep	Dealing in securities	2024-09-09	2025-12-16
Dragonstone Capital Management Limited	Rep	Asset management	2024-03-11	2024-08-12
	Rep	Advising on securities	2024-02-21	2024-08-12
	Rep	Dealing in securities	2024-02-21	2024-08-12
Vantage Capital Markets HK Limited	Rep	Advising on corporate finance	2022-11-18	2023-10-24
	Rep	Advising on securities	2022-11-18	2023-10-24
	Rep	Dealing in futures contracts	2022-07-18	2023-10-24
	Rep	Dealing in securities	2022-07-18	2023-10-24
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Dealing in securities	2019-02-26	2022-07-12
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Dealing in futures contracts	2018-10-05	2022-07-12
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2018-10-05	2019-02-26
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on securities	2018-01-18	2018-08-08
	Rep	Dealing in securities	2018-01-18	2018-08-08
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2012-10-11	2017-11-01
PIPER JAFFRAY ASIA SECURITIES LIMITED	Rep	Dealing in securities	2011-05-17	2012-08-25
SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED	Rep	Advising on securities	2009-07-13	2011-05-01
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2009-07-13	2011-05-01
BREVAN HOWARD (HONG KONG) LIMITED	Rep	Advising on futures contracts	2008-06-11	2008-11-13
	Rep	Advising on securities	2008-06-11	2008-11-13
	Rep	Asset management	2007-09-21	2008-11-13
HSBC SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2005-07-12	2005-11-12