Personnel SFC Licences and HKMA Registrations (ID 94080)

Key Data Licences & registrations 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
ICBC INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2026-05-26	-
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2026-05-26	-
Credit Suisse (Hong Kong) Limited	Rep	Advising on securities	2015-10-29	2015-11-19
	Rep	Dealing in futures contracts	2015-10-29	2023-08-09
	Rep	Dealing in securities	2015-10-29	2023-08-09
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2015-10-29	2023-08-09
SG SECURITIES (HK) LIMITED	Rep	Providing automated trading services	2010-02-10	2015-07-24
	Rep	Dealing in futures contracts	2010-01-25	2015-07-24
	Rep	Dealing in securities	2010-01-25	2015-07-24
BNP PARIBAS FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-12-28	2009-09-04
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2007-12-28	2009-09-04
PARIBAS ASIA EQUITY LIMITED (TRADING AS PARIBAS)	Rep	Dealing in securities	2007-12-28	2009-09-04
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2005-08-11	2007-12-11
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2005-08-11	2007-12-11
SOUTH CHINA COMMODITIES LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-01-16
	Rep	Asset management	2003-04-01	2004-01-16
	Rep	Dealing in futures contracts	2003-04-01	2005-08-10
SOUTH CHINA SECURITIES LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-01-16
	Rep	Advising on securities	2003-04-01	2004-01-16
	Rep	Asset management	2003-04-01	2004-01-16
	Rep	Providing automated trading services	2003-04-01	2004-01-16
	Rep	Dealing in securities	2003-04-01	2005-08-10

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.