Personnel Hong Kong SFC License Details (ID 96423)

Personnel Hong Kong SFC License Details (ID 96423)

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
ORIENT FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2025-09-19	-
ORIENT ASSET MANAGEMENT (HONG KONG) LIMITED	Rep	Asset management	2024-12-30	-
ORIENT SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2024-10-07	-
	Rep	Dealing in securities	2024-10-07	-
Taiping Securities (HK) Co Limited	Rep	Dealing in securities	2023-05-19	2024-09-08
YEE TAI ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2019-07-05	2022-12-09
	Rep	Asset management	2019-07-05	2022-12-09
China Galaxy International Futures (Hong Kong) Co., Limited	Rep	Dealing in futures contracts	2013-08-01	2019-03-31
China Galaxy International Securities (Hong Kong) Co., Limited	Rep	Dealing in securities	2013-08-01	2019-03-31
Tung Shing Futures (Brokers) Limited	Rep	Dealing in futures contracts	2011-05-17	2013-07-24
Tung Shing Securities (Brokers) Limited	Rep	Dealing in securities	2011-05-17	2013-07-24
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-12-14	2011-05-04
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2009-10-12	2011-05-04
SINOLINK SECURITIES (HONG KONG) COMPANY LIMITED	Rep	Dealing in securities	2009-06-08	2009-10-07
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2009-02-26	2009-05-28
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2009-02-18	2009-05-28
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2008-05-19	2008-10-31
KARL THOMSON INVESTMENT CONSULTANTS LIMITED	Rep	Advising on securities	2005-06-24	2007-04-30