Personnel Hong Kong SFC License Details (ID 99882)

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
I Win Asset Management Limited	RO	Advising on securities	2021-01-25	-
	RO	Asset management	2021-01-25	-
I WIN SECURITIES LIMITED	RO	Dealing in securities	2018-10-25	-
	Rep	Dealing in securities	2018-06-29	2018-10-25
Mage Securities Limited	RO	Dealing in securities	2018-01-29	2018-06-15
	Rep	Dealing in securities	2017-12-04	2018-01-29
	Rep	Advising on securities	2017-12-04	2018-06-15
iTrade Securities Investment Limited	RO	Dealing in securities	2016-12-28	2017-04-30
CIS SECURITIES ASSET MANAGEMENT LIMITED	Rep	Asset management	2013-07-25	2016-12-10
	RO	Advising on securities	2012-03-19	2016-12-10
	RO	Dealing in futures contracts	2012-01-11	2016-12-10
	RO	Dealing in securities	2012-01-11	2016-12-10
BOA INTERNATIONAL SECURITIES LIMITED	RO	Dealing in futures contracts	2009-03-30	2011-12-30
	RO	Dealing in securities	2009-03-30	2011-12-30
VC BROKERAGE LIMITED	Rep	Dealing in securities	2008-05-13	2009-03-26
VC FUTURES LIMITED	Rep	Dealing in futures contracts	2008-05-13	2009-03-26
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2005-05-03	2005-06-01
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2005-05-03	2005-06-01
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Leveraged foreign exchange trading	2004-01-29	2005-04-19
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Advising on futures contracts	2003-04-01	2003-08-14
	Rep	Asset management	2003-04-01	2003-08-14
	Rep	Providing automated trading services	2003-04-01	2003-08-14
	Rep	Dealing in futures contracts	2003-04-01	2005-04-19
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-08-14
	Rep	Advising on securities	2003-04-01	2003-08-14
	Rep	Asset management	2003-04-01	2003-08-14
	Rep	Providing automated trading services	2003-04-01	2003-08-14
	Rep	Dealing in securities	2003-04-01	2005-04-19