Personnel SFC Licences and HKMA Registrations (ID 97471)

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
YF FUTURES COMPANY LIMITED	Rep	Dealing in futures contracts	2019-03-13	-
YF SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2019-03-13	-
WING FUNG FUTURES LIMITED	Rep	Dealing in futures contracts	2017-12-06	2019-03-10
WING FUNG SECURITIES LIMITED	Rep	Dealing in securities	2017-12-06	2019-03-10
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2004-12-13	2017-10-06
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-12-13	2017-10-06
BNP PARIBAS PEREGRINE FUTURES LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-02-03
	Rep	Asset management	2003-04-01	2004-02-03
	Rep	Dealing in futures contracts	2003-04-01	2004-12-11
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-02-03
	Rep	Advising on securities	2003-04-01	2004-02-03
	Rep	Asset management	2003-04-01	2004-02-03
	Rep	Dealing in securities	2003-04-01	2004-12-11

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.