Personnel Hong Kong SFC License Details (ID 96326)

Personnel Hong Kong SFC License Details (ID 96326)

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
UPMAX SECURITIES LIMITED	Rep	Asset management	2021-07-08	-
	RO	Dealing in securities	2021-03-02	-
	Rep	Dealing in securities	2021-01-29	2021-03-02
Wealthy Securities Limited	Rep	Advising on securities	2018-06-29	2020-09-30
	Rep	Asset management	2018-06-29	2020-09-30
	RO	Dealing in securities	2018-01-25	2020-09-30
	Rep	Dealing in securities	2017-08-11	2018-01-25
AIF Securities Limited	Rep	Dealing in securities	2017-01-17	2017-02-12
	RO	Dealing in securities	2006-09-08	2017-01-17
	Rep	Dealing in securities	2005-10-20	2006-09-08
BETA INTERNATIONAL SECURITIES LIMITED	RO	Advising on corporate finance	2003-04-01	2004-10-04
	RO	Advising on securities	2003-04-01	2004-10-04
	RO	Asset management	2003-04-01	2004-10-04
	RO	Dealing in securities	2003-04-01	2005-06-20