Personnel Hong Kong SFC License Details (ID 97417)

Personnel Hong Kong SFC License Details (ID 97417)

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
HANTEC SECURITIES CO., LIMITED	Rep	Dealing in securities	2025-07-18	-
HANTEC WEALTH MANAGEMENT COMPANY LIMITED	Rep	Advising on securities	2025-07-18	-
	Rep	Asset management	2025-07-18	-
Samsung Asset Management (Hong Kong) Limited	RO	Dealing in securities	2023-12-01	2025-03-03
	Rep	Advising on securities	2023-06-29	2025-03-03
	Rep	Asset management	2023-06-29	2025-03-03
Forthright Capital Management Limited	Rep	Asset management	2023-02-07	2023-06-09
FORTHRIGHT SECURITIES COMPANY LIMITED	Rep	Advising on securities	2022-05-16	2023-06-09
	Rep	Dealing in securities	2022-05-16	2023-06-09
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED	Rep	Advising on securities	2019-11-06	2022-04-23
	Rep	Dealing in securities	2019-11-06	2022-04-23
CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED	Rep	Advising on securities	2017-09-07	2019-10-03
	Rep	Dealing in securities	2017-09-07	2019-10-03
Changjiang Securities Brokerage (HK) Limited	Rep	Dealing in securities	2017-05-11	2017-07-13
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in securities	2016-10-25	2017-03-11
Jefferies Hong Kong Limited	Rep	Dealing in securities	2015-09-17	2015-12-16
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2014-08-20	2015-09-10
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2012-04-20	2013-07-31
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2010-12-23	2013-07-31