Personnel Hong Kong SFC License Details (ID 95817)

Personnel Hong Kong SFC License Details (ID 95817)

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
Open Securities Limited	RO	Dealing in futures contracts	2021-02-10	2023-08-31
OPEN ASSET MANAGEMENT LIMITED	RO	Advising on securities	2021-01-19	2023-08-31
	RO	Asset management	2021-01-19	2023-08-31
Open Securities Limited	RO	Advising on securities	2021-01-19	2023-08-31
	RO	Dealing in securities	2021-01-19	2023-08-31
MODERN INNOVATIVE ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2017-08-04	2020-10-16
	Rep	Asset management	2017-08-04	2020-10-16
MODERN INNOVATIVE SECURITIES LIMITED	Rep	Dealing in futures contracts	2017-08-04	2020-10-16
	Rep	Dealing in securities	2017-08-04	2020-10-16
Everbright Securities Investment Services (HK) Limited	Rep	Advising on securities	2015-05-15	2017-06-25
CES Forex (HK) Limited	Rep	Leveraged foreign exchange trading	2013-06-07	2017-06-25
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2011-10-04	2017-06-25
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2011-08-08	2017-06-25
Yuanta Asia Investment (Hong Kong) Limited	Rep	Dealing in securities	2010-01-27	2011-07-06