Personnel Hong Kong SFC License Details (ID 99686)

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.

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Current only

Organisation	Role	Activity	From	Until
Going Securities Limited	RO	Advising on futures contracts	2026-04-28	2026-04-30
	RO	Advising on securities	2026-04-28	2026-04-30
	RO	Asset management	2026-04-28	2026-04-30
	RO	Dealing in futures contracts	2026-04-28	2026-04-30
	RO	Dealing in securities	2026-04-28	2026-04-30
	Rep	Advising on futures contracts	2026-03-11	2026-04-28
	Rep	Advising on securities	2026-03-11	2026-04-28
	Rep	Asset management	2026-03-11	2026-04-28
	Rep	Dealing in futures contracts	2026-03-11	2026-04-28
	Rep	Dealing in securities	2026-03-11	2026-04-28
WINBULL SECURITIES INTERNATIONAL (HONG KONG) LIMITED	RO	Advising on securities	2022-03-21	2026-01-31
	RO	Asset management	2022-03-21	2026-01-31
	RO	Dealing in securities	2022-03-21	2026-01-31
	Rep	Dealing in securities	2022-03-16	2022-03-21
Holly International Financial Holdings Limited	RO	Dealing in securities	2020-08-17	2021-12-31
	Rep	Dealing in securities	2020-08-05	2020-08-17
	Rep	Dealing in futures contracts	2020-08-05	2021-12-31
Tongjin Securities Limited	RO	Advising on futures contracts	2020-01-17	2020-06-02
	RO	Advising on securities	2020-01-17	2020-06-02
	RO	Dealing in futures contracts	2020-01-17	2020-06-02
	RO	Dealing in securities	2020-01-17	2020-06-02
China Investment Fund International Securities Limited	RO	Advising on securities	2019-08-19	2020-01-10
	RO	Dealing in securities	2019-08-19	2020-01-10
	Rep	Dealing in securities	2019-07-23	2019-08-19
Verity Capital Limited	RO	Asset management	2018-09-27	2019-06-30
GREATER CHINA SECURITIES LIMITED	RO	Dealing in securities	2018-07-18	2019-06-30
	Rep	Dealing in securities	2018-06-19	2018-07-18
Rich Bay Securities Limited	RO	Dealing in securities	2017-07-24	2018-04-30
	Rep	Dealing in securities	2017-06-09	2017-07-24
China Sunrise Securities (International) Limited	RO	Dealing in securities	2016-06-22	2017-05-14
Changjiang Securities Brokerage (HK) Limited	RO	Advising on securities	2016-03-23	2016-05-31
	RO	Dealing in securities	2016-03-23	2016-05-31
Changjiang Futures (HK) Limited	Rep	Dealing in futures contracts	2012-08-15	2016-05-31
Changjiang Securities Brokerage (HK) Limited	Rep	Advising on securities	2012-08-15	2016-03-23
	Rep	Dealing in securities	2012-08-15	2016-03-23
Ping An Securities (Hong Kong) Holdings Company Limited	Rep	Advising on securities	2011-06-23	2012-07-27
	Rep	Dealing in securities	2011-06-23	2012-07-27
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Leveraged foreign exchange trading	2008-09-12	2011-06-09
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2006-03-20	2011-06-09
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2006-03-20	2011-06-09