Personnel SFC Licences and HKMA Registrations (ID 92388)

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
China Galaxy International Securities (Hong Kong) Co., Limited	RO	Advising on securities	2012-03-13	-
China Galaxy International Futures (Hong Kong) Co., Limited	RO	Dealing in futures contracts	2011-12-14	-
China Galaxy International Securities (Hong Kong) Co., Limited	RO	Dealing in securities	2011-12-14	-
Yuanta Asia Investment (Hong Kong) Limited	RO	Advising on futures contracts	2009-09-14	2011-11-04
	RO	Advising on securities	2009-09-14	2011-11-04
	RO	Dealing in futures contracts	2007-05-11	2011-11-04
	RO	Dealing in securities	2007-05-11	2011-11-04
	RO	Dealing in futures contracts	2003-11-26	2005-10-04
	RO	Dealing in securities	2003-04-01	2005-10-04

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.