Personnel Hong Kong SFC License Details (ID 92855)

Personnel Hong Kong SFC License Details (ID 92855)

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
RONGTONG GLOBAL INVESTMENT LIMITED	Rep	Advising on securities	2023-10-16	-
	Rep	Asset management	2023-10-16	-
	Rep	Dealing in securities	2023-10-16	-
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2014-10-07	2014-11-01
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2014-10-07	2014-11-01
Soochow Securities International Futures Limited	Rep	Dealing in futures contracts	2012-11-23	2014-08-28
Soochow Securities International Brokerage Limited	Rep	Dealing in securities	2012-06-13	2014-08-28
PRUDENTIAL BROKERAGE LIMITED	Rep	Dealing in securities	2011-08-02	2012-04-30