Personnel Hong Kong SFC License Details (ID 96100)

Personnel Hong Kong SFC License Details (ID 96100)

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
PING AN SECURITIES (HONG KONG) COMPANY LIMITED	RO	Advising on securities	2019-05-07	2021-05-10
PING AN SECURITIES (HONG KONG) FUTURES COMPANY LIMITED	RO	Advising on futures contracts	2017-05-17	2021-05-10
Ping An Securities (Hong Kong) Holdings Company Limited	RO	Advising on securities	2017-05-17	2021-05-10
PING AN SECURITIES (HONG KONG) FUTURES COMPANY LIMITED	Rep	Advising on futures contracts	2017-03-27	2017-05-17
Ping An Securities (Hong Kong) Holdings Company Limited	Rep	Advising on securities	2017-03-27	2017-05-17
Soochow Securities International Futures Limited	RO	Advising on futures contracts	2014-01-23	2017-01-03
Soochow Securities International Brokerage Limited	RO	Advising on securities	2013-03-11	2017-01-03
Soochow Securities International Futures Limited	Rep	Advising on futures contracts	2012-12-20	2014-01-23
Soochow Securities International Brokerage Limited	Rep	Advising on securities	2012-12-07	2013-03-11
Soochow Securities International Asset Management Limited	Rep	Advising on securities	2012-11-20	2013-01-16
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Advising on securities	2011-05-25	2012-10-22
JS CRESVALE SECURITIES INTERNATIONAL LIMITED	Rep	Advising on securities	2011-04-08	2011-05-04
FIRST SHANGHAI SECURITIES LIMITED	Rep	Advising on securities	2010-06-07	2011-03-28
CMB International Capital Holdings Corporation Limited	Rep	Dealing in securities	2008-01-17	2010-05-23
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Advising on securities	2007-01-18	2007-12-14