Personnel Hong Kong SFC License Details (ID 99132)

Personnel Hong Kong SFC License Details (ID 99132)

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
XINHUI INTERNATIONAL SECURITIES COMPANY LIMITED	RO	Dealing in securities	2024-06-07	-
	RO	Dealing in futures contracts	2022-01-28	-
	Rep	Dealing in futures contracts	2020-12-31	2022-01-28
	RO	Dealing in futures contracts	2017-07-31	2020-12-31
JS SECURITIES LIMITED (HK)	Rep	Advising on securities	2017-07-11	2020-02-28
	Rep	Dealing in securities	2017-07-11	2020-02-28
XINHUI INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2017-07-11	2017-07-31
YUE XIU FUTURES COMPANY LIMITED	Rep	Advising on futures contracts	2015-09-08	2017-05-31
	Rep	Dealing in futures contracts	2015-09-08	2017-05-31
YUE XIU SECURITIES COMPANY LIMITED	Rep	Advising on securities	2015-09-08	2017-05-31
	Rep	Dealing in securities	2015-09-08	2017-05-31
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2015-03-30	2015-08-06
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2015-03-30	2015-08-06
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2015-02-10	2015-03-16
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2015-02-10	2015-03-16
CSC FUTURES (HK) LIMITED	Rep	Dealing in futures contracts	2012-11-16	2015-02-01
CSC SECURITIES (HK) LIMITED	Rep	Dealing in securities	2012-11-16	2015-02-01
SHANXI SECURITIES INTERNATIONAL FINANCIAL HOLDINGS LIMITED	Rep	Dealing in futures contracts	2010-10-25	2012-09-18