Personnel SFC Licences and HKMA Registrations (ID 94302)

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
EMPEROR FUTURES LIMITED	Rep	Dealing in futures contracts	2023-10-17	-
EMPEROR SECURITIES LIMITED (HK)	Rep	Dealing in securities	2023-10-17	-
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2004-01-21	2023-09-25
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2003-11-27	2023-09-25
KAISER FUTURES LIMITED	Rep	Advising on futures contracts	2003-04-01	2003-05-16
	Rep	Asset management	2003-04-01	2003-05-16
	Rep	Dealing in futures contracts	2003-04-01	2003-11-20
KAISER SECURITIES LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-05-16
	Rep	Advising on securities	2003-04-01	2003-05-16
	Rep	Asset management	2003-04-01	2003-05-16
	Rep	Dealing in securities	2003-04-01	2003-05-16

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.