Personnel SFC Licences and HKMA Registrations (ID 97536)

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
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2005-08-08	-
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2005-08-08	-
Tung Shing Futures (Brokers) Limited	Rep	Dealing in futures contracts	2004-01-28	2005-08-05
Tung Shing Securities (Brokers) Limited	Rep	Dealing in securities	2004-01-28	2005-08-05
CES Commodities (HK) Limited	Rep	Advising on futures contracts	2003-04-01	2003-11-17
	Rep	Asset management	2003-04-01	2003-11-17
	Rep	Dealing in futures contracts	2003-04-01	2004-01-15
CES Forex (HK) Limited	Rep	Leveraged foreign exchange trading	2003-04-01	2003-11-17
Everbright Securities Investment Services (HK) Limited	Rep	Providing automated trading services	2003-04-01	2003-07-07
	Rep	Advising on corporate finance	2003-04-01	2003-11-17
	Rep	Advising on securities	2003-04-01	2003-11-17
	Rep	Asset management	2003-04-01	2003-11-17
	Rep	Dealing in securities	2003-04-01	2004-01-15

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.