Personnel SFC Licences and HKMA Registrations (ID 98345)

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
Yuanta Securities (Hong Kong) Company Limited	Rep	Advising on securities	2022-08-26	-
	Rep	Dealing in futures contracts	2022-08-26	-
	Rep	Dealing in securities	2022-08-26	-
Rich Union Securities (H.K.) Limited	RO	Dealing in securities	2013-02-22	2022-07-15
	Rep	Dealing in securities	2009-08-31	2013-02-22

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.