Personnel Hong Kong SFC License Details (ID 96020)

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
Look's Securities Limited	RO	Dealing in securities	2017-04-13	2017-10-19
Safari Asia Limited	RO	Advising on securities	2017-04-13	2017-10-19
	Rep	Asset management	2017-04-13	2017-10-19
Zeta Capital (H.K.) Limited	RO	Advising on securities	2016-09-29	2017-03-20
	Rep	Advising on securities	2016-07-29	2016-09-29
Yuet Sheung International Securities Limited	RO	Advising on securities	2016-05-16	2016-07-12
	RO	Dealing in securities	2016-05-16	2016-07-12
	Rep	Advising on securities	2016-05-05	2016-05-16
	Rep	Dealing in securities	2016-03-29	2016-05-16
UNICORN SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2015-09-01	2016-02-19
Yuanta Securities (Hong Kong) Company Limited	Rep	Dealing in futures contracts	2015-04-23	2015-08-24
	Rep	Leveraged foreign exchange trading	2015-04-23	2015-08-24
	Rep	Advising on securities	2014-12-30	2015-08-24
	Rep	Dealing in securities	2014-12-30	2015-08-24
PAOCHU INVESTMENT ADVISORY LIMITED	Rep	Advising on securities	2013-10-15	2014-11-21
	Rep	Asset management	2013-10-15	2014-11-21
Nerico Brothers Limited (HK)	Rep	Dealing in futures contracts	2013-03-13	2013-09-04
	Rep	Dealing in securities	2013-03-13	2013-09-04
	Rep	Leveraged foreign exchange trading	2013-03-13	2013-09-04
TSE'S SECURITIES LIMITED	Rep	Dealing in securities	2012-12-10	2013-01-21
Open Securities Limited	Rep	Advising on securities	2011-05-04	2012-06-15
	Rep	Dealing in securities	2011-05-04	2012-06-15
HUA NAN SECURITIES (HK) LIMITED	Rep	Dealing in futures contracts	2010-03-08	2011-03-24
	Rep	Dealing in securities	2010-02-02	2011-03-24
QMIS Securities Limited	RO	Dealing in securities	2009-07-24	2009-12-09
Beevest Securities Limited	Rep	Advising on securities	2008-01-02	2008-06-28
	Rep	Dealing in futures contracts	2008-01-02	2008-06-28
	RO	Dealing in securities	2007-11-02	2008-06-28