Personnel Hong Kong SFC License Details (ID 93140)

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
Leeds Securities Investment Limited	RO	Dealing in securities	2022-08-03	-
Leeds Fund International Limited	RO	Advising on securities	2022-05-12	-
	RO	Asset management	2022-05-12	-
Leeds Securities Investment Limited	Rep	Dealing in securities	2022-05-12	2022-08-03
KuCoin Commodity Futures Limited	RO	Advising on futures contracts	2021-08-12	2022-01-31
KuCoin Asset Management Limited	RO	Asset management	2020-06-09	2022-01-31
KuCoin Commodity Futures Limited	RO	Dealing in futures contracts	2020-06-09	2022-01-31
KuCoin HK Limited	RO	Advising on securities	2020-06-09	2022-01-31
	RO	Dealing in securities	2020-06-09	2022-01-31
Cheung On Securities Limited	RO	Asset management	2019-11-27	2020-04-20
	Rep	Asset management	2019-02-28	2019-11-27
	RO	Advising on securities	2019-02-28	2020-04-20
	RO	Dealing in securities	2019-02-28	2020-04-20
LERTHAI Asset Management Limited	Rep	Advising on securities	2018-07-26	2018-09-18
LERTHAI Securities (Hong Kong) Limited	Rep	Dealing in futures contracts	2018-07-26	2018-09-18
	Rep	Dealing in securities	2018-07-26	2018-09-18
Imperium International Asset Management Limited	RO	Advising on futures contracts	2016-03-30	2018-07-12
IMPERIUM INTERNATIONAL SECURITIES LIMITED	RO	Dealing in futures contracts	2016-03-30	2018-07-12
	RO	Advising on securities	2015-08-20	2018-07-12
	RO	Dealing in securities	2015-08-20	2018-07-12
	Rep	Dealing in futures contracts	2012-12-24	2016-03-30
	Rep	Dealing in securities	2012-09-27	2015-08-20
QUEST STOCKBROKERS (HK) LIMITED	Rep	Dealing in securities	2011-09-12	2012-08-04
BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2011-06-08	2011-08-29
BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2011-06-08	2011-08-29
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2011-03-31	2011-04-16
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2011-03-03	2011-04-16
FULBRIGHT SECURITIES LIMITED	Rep	Dealing in securities	2010-06-28	2010-08-31
JIMEI SECURITIES LIMITED	Rep	Dealing in securities	2009-07-02	2010-06-24
DELTA ASIA SECURITIES LIMITED	Rep	Dealing in securities	2007-03-19	2009-07-01
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2004-10-26	2005-03-07
FUHWA SECURITIES (HONG KONG) CO., LIMITED	Rep	Dealing in securities	2003-10-20	2004-10-19
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-10-01
	Rep	Advising on securities	2003-04-01	2003-10-01
	Rep	Asset management	2003-04-01	2003-10-01
	Rep	Providing automated trading services	2003-04-01	2003-10-01
	Rep	Dealing in securities	2003-04-01	2003-10-01
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-10-01
	Rep	Advising on securities	2003-04-01	2003-10-01
	Rep	Asset management	2003-04-01	2003-10-01
	Rep	Providing automated trading services	2003-04-01	2003-10-01
	Rep	Dealing in securities	2003-04-01	2003-10-01