Personnel Hong Kong SFC License Details (ID 93816)

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
SANFULL FUTURES LIMITED	Rep	Dealing in futures contracts	2008-11-20	-
SANFULL SECURITIES LIMITED	Rep	Dealing in securities	2008-11-20	-
UPBEST COMMODITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2006-02-03	2008-11-03
UPBEST SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2006-02-03	2008-11-03
KuCoin Commodity Futures Limited	Rep	Dealing in futures contracts	2004-03-01	2006-01-31
KuCoin HK Limited	Rep	Dealing in securities	2004-03-01	2006-01-31
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in securities	2004-01-13	2004-02-09
DAIWA SECURITIES SMBC (ASIA) LIMITED	Rep	Dealing in securities	2004-01-13	2004-02-09
DAIWA SECURITIES SMBC FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2004-01-13	2004-02-09
KuCoin Commodity Futures Limited	Rep	Dealing in futures contracts	2003-07-11	2004-01-07
KuCoin HK Limited	Rep	Dealing in securities	2003-07-11	2004-01-07
CREDIT AGRICOLE INDOSUEZ CHEUVREUX SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-07-03
	Rep	Advising on securities	2003-04-01	2003-07-03
	Rep	Asset management	2003-04-01	2003-07-03
	Rep	Dealing in securities	2003-04-01	2003-07-03
Newedge Broker Hong Kong Limited	Rep	Advising on futures contracts	2003-04-01	2003-07-03
	Rep	Asset management	2003-04-01	2003-07-03
	Rep	Providing automated trading services	2003-04-01	2003-07-03
	Rep	Dealing in futures contracts	2003-04-01	2003-07-03
SG Asset Finance (Hong Kong) Limited	Rep	Advising on corporate finance	2003-04-01	2003-07-03
	Rep	Advising on securities	2003-04-01	2003-07-03
	Rep	Asset management	2003-04-01	2003-07-03
	Rep	Providing automated trading services	2003-04-01	2003-07-03
	Rep	Dealing in securities	2003-04-01	2003-07-03