Personnel SFC Licences and HKMA Registrations (ID 94279)

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
DT Securities & Futures Co. Limited	RO	Dealing in futures contracts	2024-06-14	-
	RO	Dealing in securities	2024-06-14	-
	Rep	Dealing in futures contracts	2024-05-14	2024-06-14
	Rep	Dealing in securities	2024-05-14	2024-06-14
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2024-03-18	2024-04-23
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2024-03-18	2024-04-23
SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED	RO	Advising on futures contracts	2017-02-22	2023-09-07
	RO	Advising on securities	2017-02-22	2023-09-07
SHENYIN WANGUO ONLINE BROKER (H.K.) LIMITED	RO	Dealing in securities	2007-08-17	2014-11-27
SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED	RO	Dealing in securities	2006-06-23	2014-08-01
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	RO	Dealing in futures contracts	2004-03-26	2023-09-07
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	RO	Dealing in securities	2004-03-26	2023-09-07
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2004-03-19	2004-03-26
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2004-03-19	2004-03-26
GREAT BAY SECURITIES LIMITED	RO	Advising on securities	2003-04-01	2003-08-07
	RO	Asset management	2003-04-01	2003-08-07
	RO	Dealing in securities	2003-04-01	2004-03-18
PACIFIC CHALLENGE CORPORATE FINANCE LIMITED	RO	Dealing in securities	2003-04-01	2004-03-18
PACIFIC CHALLENGE FUTURES HONG KONG LIMITED	RO	Advising on futures contracts	2003-04-01	2003-08-07
	RO	Asset management	2003-04-01	2003-08-07
	RO	Dealing in futures contracts	2003-04-01	2004-03-18

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.