Personnel Hong Kong SFC License Details (ID 99825)

Personnel Hong Kong SFC License Details (ID 99825)

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
Nerico Brothers Limited (HK)	Rep	Dealing in securities	2021-10-11	2022-02-16
Zero2IPO Securities Limited	Rep	Dealing in securities	2020-07-20	2021-04-30
CIS SECURITIES ASSET MANAGEMENT LIMITED	Rep	Dealing in securities	2018-10-15	2020-01-31
Hao Tian International Securities Limited	Rep	Dealing in securities	2017-09-21	2018-04-23
HUAJIN FUTURES (INTERNATIONAL) LIMITED	RO	Dealing in futures contracts	2016-04-18	2017-09-13
	Rep	Dealing in futures contracts	2016-03-16	2016-04-18
HUAJIN SECURITIES (INTERNATIONAL) LIMITED	Rep	Dealing in securities	2016-03-16	2017-09-13
Nerico Brothers Limited (HK)	Rep	Asset management	2015-11-27	2016-03-01
	Rep	Dealing in futures contracts	2013-01-24	2016-03-01
	Rep	Dealing in securities	2013-01-24	2016-03-01
KINGSTON FUTURES LIMITED	Rep	Dealing in futures contracts	2012-04-27	2012-07-26
KINGSTON SECURITIES LIMITED	Rep	Dealing in securities	2012-04-27	2012-07-26
RICHMOND ASSET MANAGEMENT LIMITED (HK)	Rep	Advising on securities	2011-09-06	2012-02-13
	Rep	Asset management	2011-09-06	2012-02-13
RHB FUTURES HONG KONG LIMITED	Rep	Dealing in futures contracts	2009-06-10	2011-07-29
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2007-01-18	2011-07-29
PERFECT ASSET MANAGEMENT LIMITED (HK)	Rep	Advising on securities	2006-01-05	2007-01-09
oOo Securities (HK) Group Limited	Rep	Advising on securities	2005-05-05	2005-06-14
PERFECT ASSET MANAGEMENT LIMITED (HK)	Rep	Advising on securities	2003-10-13	2005-04-25