Personnel SFC Licences and HKMA Registrations (ID 97748)

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
CAM Wealth Management Company Limited	Rep	Advising on securities	2025-08-22	-
	Rep	Asset management	2025-08-22	-
Crosby Securities Limited	Rep	Dealing in securities	2020-12-02	2025-08-22
	Rep	Advising on securities	2020-12-02	2025-08-25
Apricot Capital (Hong Kong) Limited	Rep	Advising on securities	2020-07-16	2020-10-31
	Rep	Dealing in securities	2019-01-30	2020-10-31
KGI ASIA LIMITED	Rep	Advising on securities	2017-10-03	2018-12-18
	Rep	Dealing in securities	2017-10-03	2018-12-18
	Rep	Advising on securities	2017-07-04	2017-10-02
	Rep	Dealing in securities	2017-07-04	2017-10-02
Crosby Securities Limited	Rep	Advising on securities	2015-10-02	2017-06-19
	Rep	Dealing in securities	2015-10-02	2017-06-19
Guosen Securities (HK) Brokerage Company, Limited	Rep	Advising on securities	2014-01-24	2015-09-11
	Rep	Dealing in futures contracts	2014-01-24	2015-09-11
	Rep	Dealing in securities	2014-01-24	2015-09-11
VC BROKERAGE LIMITED	Rep	Dealing in securities	2003-05-14	2014-01-20
VC FUTURES LIMITED	Rep	Dealing in futures contracts	2003-05-14	2014-01-20
Tung Shing Futures (Brokers) Limited	Rep	Dealing in futures contracts	2003-04-01	2003-05-14
Tung Shing Securities (Brokers) Limited	Rep	Advising on corporate finance	2003-04-01	2003-05-12
	Rep	Advising on securities	2003-04-01	2003-05-12
	Rep	Asset management	2003-04-01	2003-05-12
	Rep	Dealing in securities	2003-04-01	2003-05-14

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.