Personnel Hong Kong SFC License Details (ID 94441)

Personnel Hong Kong SFC License Details (ID 94441)

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
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2025-05-19	-
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2025-05-19	-
	Rep	Dealing in securities	2025-05-19	-
	Rep	Advising on securities	2018-05-31	2024-12-20
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2018-03-09	2024-12-20
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2018-03-09	2024-12-20
Mason Securities Limited	Rep	Asset management	2016-12-01	2017-10-31
	Rep	Advising on securities	2016-10-27	2017-10-31
	RO	Dealing in securities	2016-10-27	2017-10-31
	Rep	Dealing in securities	2016-07-19	2016-10-27
ZHONG ZHENG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2016-07-19	2017-10-31
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2009-05-27	2016-07-01
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2009-04-14	2016-07-01
KGI WEALTH MANAGEMENT LIMITED	Rep	Advising on securities	2008-08-11	2009-04-04
	Rep	Dealing in securities	2008-08-11	2009-04-04