Personnel SFC Licences and HKMA Registrations (ID 96118)

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
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2020-07-15	-
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2020-07-15	-
KuCoin Commodity Futures Limited	RO	Dealing in futures contracts	2019-03-01	2020-05-08
KuCoin HK Limited	RO	Advising on securities	2018-01-05	2020-05-08
	RO	Dealing in securities	2018-01-05	2020-05-08
KuCoin Commodity Futures Limited	Rep	Dealing in futures contracts	2017-09-06	2019-03-01
KuCoin HK Limited	Rep	Dealing in securities	2017-09-06	2018-01-05
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2016-09-05	2017-08-31
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2008-04-24	2017-08-31
SPS SECURITIES LIMITED	Rep	Dealing in securities	2007-08-15	2008-01-28

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.