Su, Yang (SFC:AXP791) 宿陽
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 | China Galaxy International Futures (Hong Kong) Co., Limited | Rep | Dealing in futures contracts | 2022-04-22 | 2022-06-09 | RO | Dealing in futures contracts | 2022-06-09 |
| 2 | China Galaxy International Securities (Hong Kong) Co., Limited | Rep | Advising on securities | 2022-04-22 | 2022-06-09 | Rep | Dealing in securities | 2022-04-22 | 2022-06-09 | RO | Advising on securities | 2022-06-09 | RO | Dealing in securities | 2022-06-09 |
| 3 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED | Rep | Dealing in futures contracts | 2014-01-06 | 2017-11-22 |
| 4 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | Advising on securities | 2014-01-06 | 2017-11-22 | Rep | Dealing in securities | 2014-01-06 | 2017-11-22 | Rep | Leveraged foreign exchange trading | 2014-11-12 | 2016-05-23 |
| 5 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Advising on securities | 2017-12-12 | 2019-06-20 | Rep | Dealing in futures contracts | 2017-12-12 | 2019-06-20 | Rep | Dealing in securities | 2017-12-12 | 2019-06-20 | RO | Advising on securities | 2019-06-20 | 2022-02-11 | RO | Dealing in futures contracts | 2019-06-20 | 2022-02-11 | RO | Dealing in securities | 2019-06-20 | 2022-02-11 |
| 6 | JPMorgan Funds (Asia) Limited | Rep | Dealing in securities | 2011-07-11 | 2013-08-14 |
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