Personnel Hong Kong SFC License Details (ID 92999)

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
CNI Securities Group Limited	Rep	Dealing in securities	2022-12-20	2026-05-20
CHINA SKY SECURITIES LIMITED	Rep	Dealing in securities	2019-07-12	2021-05-14
KGI ASIA LIMITED	Rep	Dealing in securities	2018-05-28	2019-06-06
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2018-05-28	2019-06-06
SOUTH CHINA COMMODITIES LIMITED	Rep	Dealing in futures contracts	2016-12-06	2018-02-07
SOUTH CHINA SECURITIES LIMITED	Rep	Dealing in securities	2016-12-06	2018-02-07
Soochow Securities International Brokerage Limited	Rep	Dealing in securities	2015-11-26	2016-12-03
Soochow Securities International Futures Limited	Rep	Dealing in futures contracts	2015-11-26	2016-12-03
CINDA INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2014-04-23	2015-10-24
CINDA INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2014-04-23	2015-10-24
Success Futures and Foreign Exchange Limited	Rep	Dealing in futures contracts	2013-01-14	2013-11-21
Success Securities Limited	Rep	Dealing in securities	2013-01-14	2013-11-21
Quam Securities Limited	Rep	Dealing in futures contracts	2011-02-21	2013-01-01
	Rep	Dealing in securities	2011-02-21	2013-01-01
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2008-11-03	2011-02-12
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2008-11-03	2011-02-12
VC BROKERAGE LIMITED	Rep	Providing automated trading services	2003-07-17	2003-08-26
	Rep	Dealing in securities	2003-07-17	2008-10-30
VC FUTURES LIMITED	Rep	Dealing in futures contracts	2003-07-17	2008-10-30
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Advising on futures contracts	-	2003-07-16
	Rep	Asset management	-	2003-07-16
	Rep	Providing automated trading services	-	2003-07-16
	Rep	Dealing in futures contracts	-	2003-07-16
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on corporate finance	-	2003-07-16
	Rep	Advising on securities	-	2003-07-16
	Rep	Asset management	-	2003-07-16
	Rep	Providing automated trading services	-	2003-07-16
	Rep	Dealing in securities	-	2003-07-16