Personnel Hong Kong SFC License Details (ID 97535)

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
QMIS Asset Management Limited	RO	Advising on securities	2026-05-29	-
	RO	Asset management	2026-05-29	-
QMIS Securities Limited	RO	Dealing in securities	2026-05-29	-
TSE'S SECURITIES LIMITED	RO	Advising on securities	2024-01-05	2026-04-30
	RO	Asset management	2024-01-05	2026-04-30
	RO	Dealing in securities	2024-01-05	2026-04-30
	Rep	Advising on securities	2024-01-02	2024-01-05
	Rep	Dealing in securities	2024-01-02	2024-01-05
Finet Securities Limited	RO	Advising on securities	2023-05-19	2023-10-04
	RO	Asset management	2023-05-19	2023-10-04
	RO	Dealing in securities	2023-05-19	2023-10-04
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2006-12-27	2023-05-10
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2006-12-27	2023-05-10
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2005-10-07	2006-12-16
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2005-10-07	2006-12-16
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Dealing in futures contracts	2004-09-01	2005-09-28
	Rep	Dealing in securities	2004-09-01	2005-09-28
SUNWAH KINGSWAY FUTURES LIMITED	Rep	Dealing in futures contracts	2004-09-01	2005-09-28
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2003-12-15	2004-09-01
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Providing automated trading services	2003-04-01	2003-09-11
	Rep	Advising on corporate finance	2003-04-01	2003-10-07
	Rep	Advising on securities	2003-04-01	2003-10-07
	Rep	Asset management	2003-04-01	2003-10-07
	Rep	Dealing in securities	2003-04-01	2004-09-01