Personnel Hong Kong SFC License Details (ID 92378)

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
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	RO	Advising on securities	2025-12-01	-
	RO	Providing automated trading services	2025-12-01	-
	RO	Dealing in futures contracts	2025-12-01	-
	RO	Dealing in securities	2025-12-01	-
	Rep	Advising on securities	2025-10-09	2025-12-01
	Rep	Dealing in futures contracts	2025-10-09	2025-12-01
	Rep	Dealing in securities	2025-10-09	2025-12-01
CMB International Securities Limited	Rep	Advising on securities	2021-11-05	2025-07-04
CMB International Global Markets Limited	Rep	Dealing in securities	2019-07-26	2022-02-07
CMB International Securities Limited	RO	Dealing in securities	2018-11-27	2025-07-04
CMB INTERNATIONAL FUTURES LIMITED	RO	Dealing in futures contracts	2016-06-10	2025-07-04
CMB International Securities Limited	Rep	Dealing in securities	2016-04-22	2018-11-27
Yuanta Securities (Hong Kong) Company Limited	RO	Advising on futures contracts	2012-08-13	2016-04-11
	RO	Dealing in futures contracts	2012-08-13	2016-04-11
Yuanta Asia Investment (Hong Kong) Limited	RO	Advising on futures contracts	2012-06-27	2013-08-01
	RO	Dealing in futures contracts	2012-06-27	2016-04-11
Yuanta Securities (Hong Kong) Company Limited	Rep	Dealing in futures contracts	2012-06-27	2012-08-13
	Rep	Dealing in securities	2012-06-27	2016-04-11
	RO	Leveraged foreign exchange trading	2012-06-14	2016-04-11
Yuanta Asia Investment (Hong Kong) Limited	RO	Leveraged foreign exchange trading	2010-10-25	2014-10-20
	Rep	Leveraged foreign exchange trading	2009-05-25	2010-10-25
	Rep	Dealing in futures contracts	2009-05-25	2012-06-27
	Rep	Dealing in securities	2009-05-25	2016-04-11
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2007-03-21	2009-05-07
CES Forex (HK) Limited	Rep	Leveraged foreign exchange trading	2007-03-21	2009-05-07
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2007-03-21	2009-05-07