Man, Kam Chiu 文錦超
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | Credit Agricole Securities (Asia) Limited | Rep | Advising on corporate finance | 2004-05-31 | Rep | Advising on securities | 2004-05-31 | Rep | Asset management | 2004-05-31 | Rep | Dealing in securities | 2006-09-30 |
| 2 | Guosen Securities (HK) Brokerage Company, Limited | RO | Advising on futures contracts | 2013-07-10 | 2016-05-09 | RO | Dealing in futures contracts | 2013-07-10 | 2016-05-09 | Rep | Advising on securities | 2013-08-07 | 2016-05-09 | Rep | Dealing in securities | 2013-08-07 | 2016-05-09 |
| 3 | HUAJIN FUTURES (INTERNATIONAL) LIMITED | Rep | Dealing in futures contracts | 2016-05-26 | 2016-07-07 | RO | Dealing in futures contracts | 2016-07-07 | 2017-10-16 |
| 4 | HUAJIN RESEARCH (INTERNATIONAL) LIMITED | Rep | Advising on securities | 2016-05-26 | 2017-10-16 |
| 5 | HUAJIN SECURITIES (INTERNATIONAL) LIMITED | Rep | Dealing in securities | 2016-05-26 | 2016-08-24 | RO | Dealing in securities | 2016-08-24 | 2017-10-16 |
| 6 | Huaxin Futures Limited | RO | Dealing in futures contracts | 2017-11-01 | 2020-05-31 |
| 7 | Marex Hong Kong Limited | Rep | Dealing in futures contracts | 2011-07-04 | 2012-05-04 |
| 8 | Newedge Broker Hong Kong Limited | Rep | Dealing in futures contracts | 2008-05-15 | 2011-05-23 |
| 9 | Newedge Broker Limited | Rep | Automated trading services | 2008-05-15 | 2009-07-31 | Rep | Dealing in futures contracts | 2008-05-15 | 2009-07-31 | Rep | Dealing in securities | 2008-05-15 | 2009-07-31 |
| 10 | RBS Asia Futures Limited | Rep | Advising on futures contracts | 2004-05-31 | Rep | Asset management | 2004-05-31 | Rep | Dealing in futures contracts | 2006-09-30 |
| 11 | RBS Asia Securities (Hong Kong) Limited | Rep | Advising on corporate finance | 2004-05-31 | Rep | Advising on securities | 2004-05-31 | Rep | Asset management | 2004-05-31 | Rep | Dealing in securities | 2005-02-04 |
| 12 | SG Asset Finance (Hong Kong) Limited | Rep | Dealing in futures contracts | 2008-10-13 | 2011-05-23 | Rep | Dealing in securities | 2008-10-13 | 2011-05-23 |
| 13 | UBS DERIVATIVES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2006-10-02 | 2008-04-17 |
| 14 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2006-10-02 | 2008-04-17 | Rep | Dealing in securities | 2006-10-02 | 2008-04-17 |
| 15 | UBS SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2006-10-02 | 2008-04-17 |
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