Personnel SFC Licences and HKMA Registrations (ID 94753)

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
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Advising on securities	2025-11-13	-
	Rep	Dealing in futures contracts	2025-11-13	-
	Rep	Dealing in securities	2025-11-13	-
Finloop Finance Limited	Rep	Dealing in securities	2024-09-16	2025-08-05
Fosun International Securities Limited	Rep	Dealing in securities	2019-07-15	2025-08-05
Soochow Securities International Futures Limited	Rep	Dealing in futures contracts	2015-03-18	2019-06-23
Soochow Securities International Brokerage Limited	Rep	Dealing in securities	2015-01-29	2019-06-23
DaoKou Securities Limited	Rep	Dealing in securities	2014-11-20	2014-12-20
SINOPAC ASSET MANAGEMENT (ASIA) LIMITED	Rep	Dealing in securities	2014-09-29	2014-11-03
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2013-05-21	2014-11-03
SINOPAC FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2011-07-29	2014-03-31
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2011-07-29	2014-11-03
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2008-07-09	2010-06-14
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2007-04-12	2011-06-10
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2007-04-12	2011-06-10

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.