Personnel SFC Licences and HKMA Registrations (ID 98946)

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
Sunrise Brokers (Hong Kong) Limited	Rep	Dealing in futures contracts	2020-11-11	-
	Rep	Dealing in securities	2020-11-11	-
GFI (HK) SECURITIES L.L.C.	Rep	Providing automated trading services	2020-02-26	-
	Rep	Dealing in futures contracts	2020-02-26	-
	Rep	Dealing in securities	2020-02-26	-
TULLETT PREBON (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2018-06-05	2018-10-31
	Rep	Dealing in securities	2018-06-05	2018-10-31
Vantage Capital Markets HK Limited	Rep	Dealing in futures contracts	2012-10-16	2015-07-17
	Rep	Dealing in securities	2012-10-16	2015-07-17
De Riva Asia Limited	Rep	Dealing in futures contracts	2011-02-21	2012-09-25
	Rep	Dealing in securities	2011-02-21	2012-09-25

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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