SFC licenceholder ALN988 MOU Shuk Han 繆淑嫻

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
Sheng Yuan Securities Limited 盛源證券有限公司 RE [1] (Dealing in Securities), [4] (Advising on Securities) 17 March 2020
YUANYIN SECURITIES LIMITED 原銀證券有限公司 RO [4] (Advising on Securities) 05 March 2019 29 February 2020
YUANYIN SECURITIES LIMITED 原銀證券有限公司 RO [1] (Dealing in Securities) 23 November 2018 29 February 2020
SR Wealth Securities Limited 中富證券有限公司 RO [1] (Dealing in Securities) 25 August 2016 11 November 2018
Finet Securities Limited 財華證券有限公司 RO [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 25 November 2014 10 April 2016
China Finance Holdings Limited 中港金融證券有限公司 RO [1] (Dealing in Securities) 25 November 2014 10 April 2016
Sun Securities Limited 太陽證券有限公司 RO [1] (Dealing in Securities) 25 September 2013 12 July 2014
Sun Securities Limited 太陽證券有限公司 RE [1] (Dealing in Securities) 27 June 2013 25 September 2013
Emperor Futures Limited 英皇期貨有限公司 RE [2] (Dealing in Futures Contracts) 13 November 2009 10 June 2013
Emperor Securities Limited 英皇證券(香港)有限公司 RE [1] (Dealing in Securities), [4] (Advising on Securities) 13 November 2009 10 June 2013
Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 RE [1] (Dealing in Securities), [4] (Advising on Securities) 08 October 2008 01 October 2009
Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 RE [2] (Dealing in Futures Contracts) 08 October 2008 01 October 2009
Success Futures and Foreign Exchange Limited 實德期貨及外滙有限公司 RE [2] (Dealing in Futures Contracts) 08 August 2008 02 October 2008
Success Securities Limited 實德證券有限公司 RE [1] (Dealing in Securities), [4] (Advising on Securities) 20 March 2008 02 October 2008
Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 RE [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) 26 January 2005 21 September 2005