Personnel Hong Kong SFC License Details (ID 99550)

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
Vantum Securities and Futures Limited	RO	Dealing in securities	2025-03-27	-
	RO	Dealing in futures contracts	2024-04-23	-
Vantum Asset Management Limited	RO	Advising on securities	2023-08-10	-
	RO	Asset management	2023-08-10	-
WRise Prestige Asset Management Limited	RO	Advising on securities	2023-03-27	2023-07-31
	RO	Asset management	2023-03-27	2023-07-31
WRise Prestige Securities Limited	RO	Dealing in securities	2023-03-27	2023-07-31
ZHONGTAI INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2021-01-20	2021-05-20
ZHONGTAI INTERNATIONAL SECURITIES LIMITED	Rep	Advising on securities	2021-01-20	2021-05-20
	Rep	Dealing in securities	2021-01-20	2021-05-20
Quam Securities Limited	RO	Advising on securities	2018-10-11	2020-10-06
	RO	Asset management	2018-10-11	2020-10-06
	RO	Dealing in futures contracts	2018-10-11	2020-10-06
	RO	Dealing in securities	2018-10-11	2020-10-06
	Rep	Advising on securities	2018-05-30	2018-10-11
	Rep	Asset management	2018-05-30	2018-10-11
	Rep	Dealing in futures contracts	2018-05-30	2018-10-11
	Rep	Dealing in securities	2018-05-30	2018-10-11
SBI E2-Capital Securities Limited	RO	Dealing in futures contracts	2018-03-02	2018-04-25
	RO	Dealing in securities	2018-03-02	2018-04-25
Vantum Asset Management Limited	RO	Advising on securities	2018-03-02	2018-04-25
	RO	Asset management	2018-03-02	2018-04-25
SBI E2-Capital Securities Limited	Rep	Dealing in futures contracts	2017-08-09	2018-03-02
	Rep	Dealing in securities	2017-08-09	2018-03-02
CAITONG INTERNATIONAL SECURITIES CO., LIMITED	RO	Dealing in securities	2015-05-18	2016-07-13
ZHONGTAI INTERNATIONAL FUTURES LIMITED	RO	Dealing in futures contracts	2012-12-07	2015-04-17
ZHONGTAI INTERNATIONAL SECURITIES LIMITED	RO	Dealing in securities	2012-11-13	2015-04-17
LT Securities Limited	RO	Dealing in futures contracts	2011-04-01	2012-04-25
	RO	Dealing in securities	2011-04-01	2012-04-25
ICBC INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2009-09-15	2011-01-01
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2009-08-18	2011-01-01
MASTERLINK SECURITIES (HONG KONG) CORPORATION LIMITED	Rep	Dealing in securities	2009-02-19	2009-08-10
Beevest Securities Limited	Rep	Dealing in futures contracts	2008-03-18	2008-08-01
	Rep	Dealing in securities	2008-03-18	2008-08-01
SOUTH CHINA COMMODITIES LIMITED	Rep	Dealing in futures contracts	2007-01-02	2007-10-08
SOUTH CHINA SECURITIES LIMITED	Rep	Dealing in securities	2007-01-02	2007-10-08
SPLENDOR GLOBAL INVESTMENTS LIMITED	RO	Advising on securities	2005-06-07	2006-05-19