Personnel Hong Kong SFC License Details (ID 97378)

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
Vantum Securities and Futures Limited	RO	Dealing in securities	2025-03-27	2026-07-05
	RO	Dealing in futures contracts	2024-05-07	2026-07-05
Vantum Asset Management Limited	RO	Advising on securities	2023-05-05	2026-07-05
	RO	Asset management	2023-05-05	2026-07-05
Quam Securities Limited	Rep	Dealing in futures contracts	2018-05-10	2022-02-28
	Rep	Dealing in securities	2018-05-10	2022-02-28
ZHONGTAI INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2017-10-18	2018-04-25
ZHONGTAI INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2017-10-18	2018-04-25
Quam Securities Limited	Rep	Advising on securities	2016-06-23	2016-10-13
	Rep	Dealing in futures contracts	2016-06-23	2016-10-13
	Rep	Dealing in securities	2016-06-23	2016-10-13
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2015-03-24	2016-03-02
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2014-08-14	2016-03-02
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2014-04-01	2016-03-02
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2014-04-01	2016-03-02
FRONTIER CAPITAL MANAGEMENT LIMITED (HK)	Rep	Advising on securities	2013-11-04	2014-03-11
	Rep	Asset management	2013-11-04	2014-03-11
	Rep	Dealing in securities	2013-06-26	2014-03-11
ZHONGTAI INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2013-03-04	2013-06-17
ZHONGTAI INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2013-01-03	2013-06-17
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2009-12-03	2012-09-28
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-12-03	2012-09-28
CELESTIAL COMMODITIES LIMITED	Rep	Dealing in futures contracts	2007-09-10	2009-11-30
CELESTIAL SECURITIES LIMITED	Rep	Dealing in securities	2007-09-10	2009-11-30