Personnel Hong Kong SFC License Details (ID 97280)

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
JOINCAP CAPITAL LIMITED	RO	Dealing in securities	2026-02-02	-
Grit Securities Limited	RO	Dealing in securities	2018-12-31	2023-04-13
JOINCAP CAPITAL LIMITED	RO	Advising on securities	2018-12-31	-
	RO	Asset management	2018-12-31	-
Grit Securities Limited	Rep	Dealing in securities	2018-12-11	2018-12-31
JOINCAP CAPITAL LIMITED	Rep	Advising on securities	2018-12-11	2018-12-31
	Rep	Asset management	2018-12-11	2018-12-31
uSmart Securities Limited	RO	Advising on securities	2017-07-13	2018-12-09
	RO	Asset management	2017-07-13	2018-12-09
	RO	Dealing in securities	2017-07-13	2018-12-09
CNCB (Hong Kong) Capital Limited	RO	Advising on securities	2016-07-12	2017-07-10
	RO	Asset management	2016-07-12	2017-07-10
	RO	Dealing in securities	2016-06-07	2017-07-10
Zhong Yang Securities Limited	RO	Dealing in securities	2016-03-04	2016-03-17
Open Securities Limited	RO	Dealing in futures contracts	2014-02-28	2016-01-03
	RO	Dealing in securities	2014-02-28	2016-01-03
	Rep	Dealing in futures contracts	2014-02-19	2014-02-28
	Rep	Dealing in securities	2014-02-19	2014-02-28
Well Link Securities Limited	RO	Dealing in futures contracts	2013-06-03	2014-02-10
	RO	Dealing in securities	2013-06-03	2014-02-10
ORIENTAL WEALTH FUTURES LIMITED	RO	Dealing in futures contracts	2012-07-27	2013-06-01
ORIENTAL WEALTH SECURITIES LIMITED	RO	Dealing in securities	2012-07-27	2013-06-01
Well Link Securities Limited	RO	Dealing in futures contracts	2012-03-01	2012-07-23
	RO	Dealing in securities	2012-03-01	2012-07-23
	Rep	Dealing in futures contracts	2012-02-13	2012-03-01
	Rep	Dealing in securities	2012-02-13	2012-03-01
XinKong International Securities Limited	Rep	Advising on securities	2011-09-22	2012-02-01
	RO	Dealing in futures contracts	2011-08-23	2012-02-01
	RO	Dealing in securities	2011-08-23	2012-02-01
	Rep	Dealing in futures contracts	2004-12-30	2011-08-23
	Rep	Dealing in securities	2004-01-15	2011-08-23