Pun, Hong Hai 潘康海
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 | Arta Corporate Advisory Limited | RO | Advising on corporate finance | 2017-12-07 | 2021-09-06 |
| 2 | Arta Global Futures Limited | Rep | Dealing in futures contracts | 2016-10-20 | 2016-11-29 | RO | Dealing in futures contracts | 2016-11-29 | 2021-09-06 |
| 3 | Arta Global Markets Limited | Rep | Dealing in securities | 2016-10-20 | 2016-11-29 | RO | Dealing in securities | 2016-11-29 | 2021-09-06 | RO | Advising on securities | 2018-01-16 | 2021-09-06 | RO | Asset management | 2018-01-16 | 2021-09-06 |
| 4 | BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED | Rep | Dealing in futures contracts | 2009-12-22 | 2011-01-24 | RO | Dealing in futures contracts | 2011-01-24 | 2011-02-15 |
| 5 | BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2009-12-22 | 2010-10-27 | Rep | Advising on securities | 2010-08-16 | 2011-02-15 | RO | Dealing in securities | 2010-10-27 | 2011-02-15 |
| 6 | Emperor Asset Management Limited | Rep | Asset management | 2022-02-28 | 2022-07-11 | RO | Asset management | 2022-07-11 |
| 7 | EMPEROR FUTURES LIMITED | Rep | Dealing in futures contracts | 2022-02-28 | 2022-07-11 | RO | Dealing in futures contracts | 2022-07-11 | RO | Advising on futures contracts | 2023-01-05 |
| 8 | EMPEROR SECURITIES LIMITED (HK) | Rep | Advising on securities | 2022-02-28 | 2022-07-11 | Rep | Dealing in securities | 2022-02-28 | 2022-07-11 | RO | Advising on securities | 2022-07-11 | RO | Dealing in securities | 2022-07-11 |
| 9 | Emperor Wealth Management Limited | RO | Advising on securities | 2023-01-05 | RO | Dealing in securities | 2023-01-05 |
| 10 | HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Advising on futures contracts | 2003-10-06 | Rep | Asset management | 2003-10-06 | Rep | Automated trading services | 2003-10-06 | Rep | Dealing in futures contracts | 2009-10-01 | Rep | Dealing in futures contracts | 2011-05-16 | 2012-05-08 |
| 11 | HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Advising on corporate finance | 2003-09-29 | Rep | Asset management | 2003-09-29 | Rep | Automated trading services | 2003-09-29 | Rep | Advising on securities | 2003-10-06 | Rep | Dealing in securities | 2009-10-01 | Rep | Leveraged foreign exchange trading | 2004-07-28 | 2009-10-01 | Rep | Advising on securities | 2011-03-30 | 2012-05-08 | Rep | Dealing in securities | 2011-03-30 | 2012-05-08 | Rep | Leveraged foreign exchange trading | 2012-02-27 | 2012-05-08 |
| 12 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Advising on securities | 2015-08-25 | 2015-09-25 | Rep | Dealing in futures contracts | 2015-08-25 | 2015-09-25 | Rep | Dealing in securities | 2015-08-25 | 2015-09-25 |
| 13 | Mason Futures Limited (HK) | Rep | Dealing in futures contracts | 2012-07-05 | 2013-04-15 | RO | Dealing in futures contracts | 2013-04-15 | 2015-08-14 | RO | Dealing in futures contracts | 2016-07-12 | 2016-09-30 |
| 14 | Mason Securities Limited | Rep | Dealing in securities | 2012-07-05 | 2013-04-15 | Rep | Advising on securities | 2012-07-05 | 2013-10-29 | RO | Dealing in securities | 2013-04-15 | 2015-08-14 | RO | Advising on securities | 2013-10-29 | 2015-08-14 | RO | Advising on securities | 2016-07-12 | 2016-09-30 | RO | Dealing in securities | 2016-07-12 | 2016-09-30 |
| 15 | THOMAS GLOBAL FINANCIAL SERVICES LIMITED | RO | Dealing in securities | 2016-08-25 | 2016-09-30 |
| 16 | WING FUNG FOREX LIMITED | Rep | Leveraged foreign exchange trading | 2009-10-07 | 2009-12-01 |
| 17 | WING FUNG FUTURES LIMITED | Rep | Dealing in futures contracts | 2009-10-07 | 2009-12-01 |
| 18 | WING FUNG SECURITIES LIMITED | Rep | Dealing in securities | 2009-10-07 | 2009-12-01 |
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