Personnel SFC Licences and HKMA Registrations (ID 96290)

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
KAISER FUTURES LIMITED	Rep	Dealing in futures contracts	2017-12-01	-
KAISER SECURITIES LIMITED	Rep	Dealing in securities	2017-12-01	-
KAISER FUTURES LIMITED	RO	Dealing in futures contracts	2013-07-09	2017-12-01
KAISER SECURITIES LIMITED	RO	Dealing in securities	2013-07-09	2017-12-01
KAISER FUTURES LIMITED	Rep	Dealing in futures contracts	2013-05-24	2013-07-09
KAISER SECURITIES LIMITED	Rep	Dealing in securities	2013-05-24	2013-07-09
Apricot Capital (Hong Kong) Limited	RO	Dealing in securities	2004-08-18	2013-05-01
TOPMORE COMMODITIES LIMITED	RO	Dealing in futures contracts	2004-08-18	2013-05-01
	Rep	Dealing in futures contracts	2004-07-15	2004-08-18
ENLIGHTEN FUTURES LIMITED	RO	Advising on futures contracts	2003-04-01	2003-10-27
	RO	Asset management	2003-04-01	2003-10-27
	RO	Dealing in futures contracts	2003-04-01	2004-07-01
ENLIGHTEN SECURITIES LIMITED	RO	Advising on corporate finance	2003-04-01	2003-10-27
	RO	Advising on securities	2003-04-01	2003-10-27
	RO	Asset management	2003-04-01	2003-10-27
	RO	Dealing in securities	2003-04-01	2004-05-31

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.