Personnel Hong Kong SFC License Details (ID 99552)

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
China Enterprise Securities Company Limited	RO	Advising on futures contracts	2025-07-23	2025-12-08
	RO	Dealing in futures contracts	2025-07-23	2025-12-08
	Rep	Dealing in securities	2025-06-23	2025-12-08
SOLARSTONE CAPITAL LIMITED	Rep	Dealing in securities	2024-08-06	2025-02-07
	RO	Dealing in securities	2020-09-21	2024-08-06
	Rep	Dealing in securities	2020-09-14	2020-09-21
Leeds Fund International Limited	RO	Advising on securities	2020-02-24	2020-09-12
Leeds Securities Investment Limited	RO	Dealing in securities	2020-02-24	2020-09-12
Leeds Fund International Limited	Rep	Advising on securities	2020-02-20	2020-02-24
	Rep	Asset management	2020-02-20	2020-09-12
Leeds Securities Investment Limited	Rep	Dealing in securities	2020-02-20	2020-02-24
Yellow River Securities Limited	RO	Dealing in securities	2017-06-01	2020-02-15
KOALA SECURITIES LIMITED	RO	Advising on securities	2016-08-15	2017-05-31
	RO	Dealing in securities	2015-09-09	2017-05-31
LT Finance Management Limited	RO	Advising on futures contracts	2013-08-26	2015-09-07
	RO	Advising on securities	2012-12-10	2015-09-07
LT Securities Limited	RO	Dealing in futures contracts	2011-04-01	2015-09-07
	RO	Dealing in securities	2011-04-01	2015-09-07
VISION FINANCE (SECURITIES) LIMITED	RO	Dealing in securities	2010-08-19	2011-01-26
	Rep	Dealing in securities	2010-07-15	2010-08-19
CLC SECURITIES LIMITED	RO	Dealing in securities	2008-06-16	2010-07-14
KING FOOK COMMODITIES COMPANY LIMITED	RO	Dealing in futures contracts	2007-04-20	2008-06-12
	Rep	Dealing in futures contracts	2007-02-06	2007-04-20
KING FOOK SECURITIES COMPANY LIMITED	RO	Dealing in securities	2006-12-21	2008-06-12
	Rep	Dealing in securities	2006-09-29	2006-12-21
HENYEP SECURITIES LIMITED	RO	Providing automated trading services	2004-11-02	2004-12-14
	RO	Dealing in securities	2004-11-02	2006-09-15
	Rep	Dealing in securities	2004-10-05	2004-11-02
CORPORATE BROKERS LIMITED	Rep	Advising on corporate finance	-	2004-02-19
	Rep	Advising on securities	-	2004-02-19
	Rep	Asset management	-	2004-02-19
	Rep	Providing automated trading services	-	2004-02-19
	Rep	Dealing in securities	-	2004-09-30
CORPORATE COMMODITIES LIMITED	Rep	Advising on futures contracts	-	2004-02-18
	Rep	Asset management	-	2004-02-18
	Rep	Dealing in futures contracts	-	2004-09-30