Personnel Hong Kong SFC License Details (ID 99070)

Personnel Hong Kong SFC License Details (ID 99070)

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
DLJ Real Estate Capital Partners (HK), Limited	RO	Advising on securities	2022-05-11	-
	RO	Dealing in securities	2022-05-11	-
	Rep	Advising on securities	2022-04-20	2022-05-11
	Rep	Dealing in securities	2022-04-20	2022-05-11
Po Tai Securities (Hong Kong) Limited	RO	Advising on securities	2021-01-05	2022-01-05
	RO	Dealing in securities	2021-01-05	2022-01-05
Holly International Asset Management Company Limited	RO	Advising on securities	2019-05-07	2020-12-31
Holly International Financial Holdings Limited	RO	Dealing in securities	2017-11-17	2020-12-31
	Rep	Dealing in securities	2017-10-25	2017-11-17
	Rep	Dealing in futures contracts	2017-10-25	2020-12-31
CENTRAL WEALTH SECURITIES INVESTMENT LIMITED	RO	Dealing in securities	2017-03-31	2017-09-29
CENTRAL WEALTH FUTURES LIMITED	Rep	Dealing in futures contracts	2017-01-16	2017-09-29
CENTRAL WEALTH SECURITIES INVESTMENT LIMITED	Rep	Dealing in securities	2017-01-16	2017-03-31
CMBC INTERNATIONAL FUTURES COMPANY LIMITED	Rep	Dealing in futures contracts	2015-07-15	2017-01-01
CMBC SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2015-05-26	2017-01-01
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2014-06-13	2015-05-15
China Gather Wealth Financial Company Limited	Rep	Dealing in securities	2011-02-09	2012-11-30