Personnel Hong Kong SFC License Details (ID 99850)

Personnel Hong Kong SFC License Details (ID 99850)

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
Yellow River Securities Limited	RO	Dealing in securities	2020-02-13	-
	Rep	Dealing in securities	2020-02-03	2020-02-13
FT Securities Limited	RO	Advising on securities	2018-04-12	2019-11-02
	RO	Dealing in securities	2018-04-12	2019-11-02
	Rep	Dealing in securities	2018-03-26	2018-04-12
Goldin Equities Limited	RO	Dealing in futures contracts	2016-10-25	2018-03-02
	RO	Dealing in securities	2016-08-31	2018-03-02
SFGHK Limited	RO	Dealing in securities	2011-09-06	2016-08-21
Goldin Equities Limited	RO	Dealing in futures contracts	2010-08-11	2011-09-04
	Rep	Dealing in futures contracts	2010-06-15	2010-08-11
	Rep	Dealing in securities	2010-06-15	2011-09-04
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2004-11-26	2010-06-10
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2003-04-01	2010-06-10