Personnel Hong Kong SFC License Details (ID 94258)

Personnel Hong Kong SFC License Details (ID 94258)

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
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2025-08-12	-
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2025-08-12	-
BOCI SECURITIES LIMITED	Rep	Advising on securities	2020-12-18	2024-11-15
	Rep	Leveraged foreign exchange trading	2014-01-07	2014-11-26
	Rep	Dealing in futures contracts	2014-01-07	2024-11-15
	Rep	Dealing in securities	2014-01-07	2024-11-15
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2013-08-08	2013-12-23
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2013-06-03	2013-12-23
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2013-06-03	2013-12-23
SHENG YUAN SECURITIES LIMITED	Rep	Dealing in futures contracts	2012-09-18	2013-05-11
	Rep	Dealing in securities	2011-01-20	2013-05-11
CSC FUTURES (HK) LIMITED	Rep	Dealing in futures contracts	2010-04-26	2011-01-01
CSC SECURITIES (HK) LIMITED	Rep	Dealing in securities	2010-03-29	2011-01-01
Emperor Wealth Management Limited	Rep	Dealing in securities	2009-11-13	2010-03-22
EMPEROR FUTURES LIMITED	Rep	Dealing in futures contracts	2009-09-28	2010-03-22
EMPEROR SECURITIES LIMITED (HK)	Rep	Dealing in securities	2009-06-05	2010-03-22
OnePlatform Asset Management Limited	Rep	Advising on securities	2006-06-08	2007-10-26