Personnel Hong Kong SFC License Details (ID 99404)

Personnel Hong Kong SFC License Details (ID 99404)

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
Yuanta Securities (Hong Kong) Company Limited	Rep	Asset management	2023-11-30	2024-10-31
	Rep	Dealing in securities	2023-08-17	2024-10-31
Rich Union Securities (H.K.) Limited	RO	Advising on securities	2012-04-12	2012-08-20
	RO	Asset management	2012-04-12	2012-08-20
	Rep	Advising on securities	2012-03-21	2012-04-12
	Rep	Asset management	2012-03-21	2012-04-12
Sumo Asset Management Limited	RO	Advising on securities	2010-07-07	2012-03-15
	RO	Asset management	2010-07-07	2012-03-15
SG SECURITIES (HK) LIMITED	RO	Providing automated trading services	2006-02-14	2008-05-01
	RO	Dealing in futures contracts	2006-02-14	2008-05-01
	RO	Dealing in securities	2006-02-14	2008-05-01
	Rep	Dealing in futures contracts	2004-02-09	2006-02-14
	Rep	Advising on securities	-	2003-12-16
	Rep	Asset management	-	2003-12-16
	Rep	Advising on corporate finance	-	2004-01-13
	Rep	Providing automated trading services	-	2006-02-14
	Rep	Dealing in securities	-	2006-02-14