Personnel SFC Licences and HKMA Registrations (ID 96406)

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
Boom Securities (H.K.) Limited	Rep	Dealing in futures contracts	2024-07-18	-
	Rep	Dealing in securities	2024-07-18	-
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2022-09-05	2024-07-03
	Rep	Dealing in securities	2022-09-05	2024-07-03
	Rep	Leveraged foreign exchange trading	2017-02-13	2018-01-15
	Rep	Dealing in futures contracts	2017-02-13	2022-04-30
	Rep	Dealing in securities	2017-02-13	2022-04-30
Tung Shing Securities (Brokers) Limited	Rep	Leveraged foreign exchange trading	2014-07-11	2017-02-12
Tung Shing Futures (Brokers) Limited	Rep	Dealing in futures contracts	2010-06-02	2017-02-12
Tung Shing Securities (Brokers) Limited	Rep	Dealing in securities	2010-06-02	2017-02-12

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.