SFC licenceholder AFF211 SHUNG Kwok Yin 宋國彥

Licences

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Updated: 05 April 2020

Institution Role Licences Start date End date
Cinda International Futures Limited 信達國際期貨有限公司 RO [2] (Dealing in Futures Contracts) 06 December 2019
Cinda International Securities Limited 信達國際證券有限公司 RO [1] (Dealing in Securities) 06 December 2019
Cinda International Futures Limited 信達國際期貨有限公司 RE [2] (Dealing in Futures Contracts) 12 July 2019 06 December 2019
Cinda International Securities Limited 信達國際證券有限公司 RE [1] (Dealing in Securities) 11 June 2019 06 December 2019
Power Securities Company Limited 權威證券有限公司 RO [1] (Dealing in Securities) 30 January 2019 03 April 2019
Power Securities Company Limited 權威證券有限公司 RE [1] (Dealing in Securities) 24 July 2018 30 January 2019
RHB Securities Hong Kong Limited 興業金融證券有限公司 RE [1] (Dealing in Securities) 02 September 2014 18 July 2018
RHB Futures Hong Kong Limited 興業金融期貨有限公司 RE [2] (Dealing in Futures Contracts) 02 September 2014 18 July 2018
CMB International Insurance Consultancy Co., Limited 招銀國際保險顧問有限公司 RO [2] (Dealing in Futures Contracts) 01 November 2010 09 May 2012
CMB International Securities Limited 招銀國際證券有限公司 RO [1] (Dealing in Securities) 31 August 2010 25 August 2014
CMB International Capital Holdings Corporation Limited RE [1] (Dealing in Securities) 12 July 2010 05 May 2011
Tung Shing Securities (Brokers) Limited 東盛證券(經紀)有限公司 RE [1] (Dealing in Securities) 20 October 2009 28 June 2010
Tung Shing Futures (Brokers) Limited 東盛期貨(經紀)有限公司 RE [2] (Dealing in Futures Contracts) 20 October 2009 28 June 2010
Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 21 September 2007 01 December 2008
China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 RE [1] (Dealing in Securities) 06 December 2003 22 May 2006
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 RE [1] (Dealing in Securities) 01 April 2003 04 December 2003
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 RE [4] (Advising on Securities), [6] (Advising on Corporate Finance), [9] (Asset Management) 01 April 2003 03 December 2003