renavon/

sfc_licences

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Hong Kong SFC licensed financial intermediaries directory

Directory of persons and entities licensed by Hong Kong's Securities and Futures Commission (SFC). Look up any financial intermediary by their Central Entity Reference (CE Ref) — a unique identifier assigned by the SFC to every licensed person and registered institution. Includes details on which regulated activities they are licensed for (Types 1-12) and whether they hold an Anti-Money Laundering Ordinance (AMLO) licence for virtual asset services. Essential for verifying whether a financial service provider is properly licensed in Hong Kong.

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ceref licence_key licence_info amlo_licence_info has_licence_info has_amlo_licence source_url updated_at
AAA012 98067ede5c95e2a8b3c9159a30d73cd6 [{"lcRole":"RE","prinApplNo":null,"prinCeName":"UBP Asset Management Asia Limited","prinCeNameChin":"瑞士聯合資產管理亞洲有限公司","prinCeRef":"AOB278","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":1,"actDesc":"Dealing in Securities","cactDesc":"證券交易","parentType":null},"effectivePeriodList":[{"effectiveDate":"Dec 15, 2010 12:00:00 AM","endDate":"Sep 19, 2017 12:00:00 AM"}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"Generali Investments Asia Limited","prinCeNameChin":"忠利投資亞洲有限公司","prinCeRef":"AME383","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":1,"actDesc":"Dealing in Securities","cactDesc":"證券交易","parentType":null},"effectivePeriodList":[{"effectiveDate":"Aug 1, 2008 12:00:00 AM","endDate":"Aug 6, 2010 12:00:00 AM"},{"effectiveDate":"Dec 28, 2007 12:00:00 AM","endDate":"May 20, 2008 12:00:00 AM"}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"BNP Paribas Dealing Services Asia Limited","prinCeNameChin":"法國巴黎金融交易服務亞洲有限公司","prinCeRef":"AEK771","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":1,"actDesc":"Dealing in Securities","cactDesc":"證券交易","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Aug 31, 2007 12:00:00 AM"}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"BNP Paribas Dealing Services Asia Limited","prinCeNameChin":"法國巴黎金融交易服務亞洲有限公司","prinCeRef":"AEK771","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":4,"actDesc":"Advising on Securities","cactDesc":"就證券提供意見","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Apr 20, 2004 12:00:00 AM"}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"BNP Paribas Dealing Services Asia Limited","prinCeNameChin":"法國巴黎金融交易服務亞洲有限公司","prinCeRef":"AEK771","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":6,"actDesc":"Advising on Corporate Finance","cactDesc":"就機構融資提供意見","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Apr 20, 2004 12:00:00 AM"}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"UBP Asset Management Asia Limited","prinCeNameChin":"瑞士聯合資產管理亞洲有限公司","prinCeRef":"AOB278","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":9,"actDesc":"Asset Management","cactDesc":"提供資產管理","parentType":null},"effectivePeriodList":[{"effectiveDate":"Dec 15, 2010 12:00:00 AM","endDate":"Sep 19, 2017 12:00:00 AM"}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"Generali Investments Asia Limited","prinCeNameChin":"忠利投資亞洲有限公司","prinCeRef":"AME383","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":9,"actDesc":"Asset Management","cactDesc":"提供資產管理","parentType":null},"effectivePeriodList":[{"effectiveDate":"Aug 1, 2008 12:00:00 AM","endDate":"Aug 6, 2010 12:00:00 AM"},{"effectiveDate":"Nov 2, 2007 12:00:00 AM","endDate":"May 20, 2008 12:00:00 AM"}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"BNP Paribas Dealing Services Asia Limited","prinCeNameChin":"法國巴黎金融交易服務亞洲有限公司","prinCeRef":"AEK771","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":9,"actDesc":"Asset Management","cactDesc":"提供資產管理","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Aug 31, 2007 12:00:00 AM"}]}] [] True True https://apps.sfc.hk/publicregWeb/indi/AAA012/licenceRecord
AAA014 9c5f865512cad1667023722f63838919 [{"lcRole":"RE","prinApplNo":null,"prinCeName":"Luen Fat Securities Company Limited","prinCeNameChin":"聯發證券有限公司","prinCeRef":"AAG378","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":1,"actDesc":"Dealing in Securities","cactDesc":"證券交易","parentType":null},"effectivePeriodList":[{"effectiveDate":"Mar 21, 2005 12:00:00 AM","endDate":null}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"K. L. Securities Company","prinCeNameChin":"淦聯證券投資公司","prinCeRef":"AAA022","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":1,"actDesc":"Dealing in Securities","cactDesc":"證券交易","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Mar 21, 2005 12:00:00 AM"}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"K. L. Securities Company","prinCeNameChin":"淦聯證券投資公司","prinCeRef":"AAA022","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":4,"actDesc":"Advising on Securities","cactDesc":"就證券提供意見","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Mar 21, 2005 12:00:00 AM"}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"K. L. Securities Company","prinCeNameChin":"淦聯證券投資公司","prinCeRef":"AAA022","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":6,"actDesc":"Advising on Corporate Finance","cactDesc":"就機構融資提供意見","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Feb 19, 2004 12:00:00 AM"}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"K. L. Securities Company","prinCeNameChin":"淦聯證券投資公司","prinCeRef":"AAA022","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":9,"actDesc":"Asset Management","cactDesc":"提供資產管理","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Feb 19, 2004 12:00:00 AM"}]}] [] True True https://apps.sfc.hk/publicregWeb/indi/AAA014/licenceRecord
AAA015 3501ff604578eeb8dcf87579502b2990 [{"lcRole":"RE","prinApplNo":null,"prinCeName":"J.P. Morgan Broking (Hong Kong) Limited","prinCeNameChin":null,"prinCeRef":"AAB027","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":1,"actDesc":"Dealing in Securities","cactDesc":"證券交易","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Apr 21, 2006 12:00:00 AM"}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"J.P. Morgan Broking (Hong Kong) Limited","prinCeNameChin":null,"prinCeRef":"AAB027","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":4,"actDesc":"Advising on Securities","cactDesc":"就證券提供意見","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Apr 21, 2006 12:00:00 AM"}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"J.P. Morgan Securities (Far East) Limited","prinCeNameChin":null,"prinCeRef":"AAB026","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":4,"actDesc":"Advising on Securities","cactDesc":"就證券提供意見","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Oct 5, 2005 12:00:00 AM"}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"J.P. Morgan Securities (Far East) Limited","prinCeNameChin":null,"prinCeRef":"AAB026","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":6,"actDesc":"Advising on Corporate Finance","cactDesc":"就機構融資提供意見","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Dec 23, 2003 12:00:00 AM"}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"J.P. Morgan Broking (Hong Kong) Limited","prinCeNameChin":null,"prinCeRef":"AAB027","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":6,"actDesc":"Advising on Corporate Finance","cactDesc":"就機構融資提供意見","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Dec 2, 2003 12:00:00 AM"}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"J.P. Morgan Broking (Hong Kong) Limited","prinCeNameChin":null,"prinCeRef":"AAB027","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":7,"actDesc":"Providing Automated Trading Services","cactDesc":"提供自動化交易服務","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Dec 2, 2003 12:00:00 AM"}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"J.P. Morgan Securities (Far East) Limited","prinCeNameChin":null,"prinCeRef":"AAB026","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":9,"actDesc":"Asset Management","cactDesc":"提供資產管理","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Dec 23, 2003 12:00:00 AM"}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"J.P. Morgan Broking (Hong Kong) Limited","prinCeNameChin":null,"prinCeRef":"AAB027","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":9,"actDesc":"Asset Management","cactDesc":"提供資產管理","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Dec 2, 2003 12:00:00 AM"}]}] [] True True https://apps.sfc.hk/publicregWeb/indi/AAA015/licenceRecord
AAA018 0698b4c7b9d7757d07cbf7dc3c777d75 [{"lcRole":"RE","prinApplNo":null,"prinCeName":"Luen Fat Securities Company Limited","prinCeNameChin":"聯發證券有限公司","prinCeRef":"AAG378","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":1,"actDesc":"Dealing in Securities","cactDesc":"證券交易","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2005 12:00:00 AM","endDate":"Jan 21, 2022 12:00:00 AM"}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"K. L. Securities Company","prinCeNameChin":"淦聯證券投資公司","prinCeRef":"AAA022","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":1,"actDesc":"Dealing in Securities","cactDesc":"證券交易","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Mar 31, 2005 12:00:00 AM"}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"K. L. Securities Company","prinCeNameChin":"淦聯證券投資公司","prinCeRef":"AAA022","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":4,"actDesc":"Advising on Securities","cactDesc":"就證券提供意見","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Mar 17, 2005 12:00:00 AM"}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"K. L. Securities Company","prinCeNameChin":"淦聯證券投資公司","prinCeRef":"AAA022","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":6,"actDesc":"Advising on Corporate Finance","cactDesc":"就機構融資提供意見","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Mar 17, 2005 12:00:00 AM"}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"K. L. Securities Company","prinCeNameChin":"淦聯證券投資公司","prinCeRef":"AAA022","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":9,"actDesc":"Asset Management","cactDesc":"提供資產管理","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Mar 17, 2005 12:00:00 AM"}]}] [] True True https://apps.sfc.hk/publicregWeb/indi/AAA018/licenceRecord
AAA024 5214e161dd31454d744526ddf91e7ecc [{"lcRole":"RE","prinApplNo":null,"prinCeName":"Luen Fat Securities Company Limited","prinCeNameChin":"聯發證券有限公司","prinCeRef":"AAG378","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":1,"actDesc":"Dealing in Securities","cactDesc":"證券交易","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 26, 2005 12:00:00 AM","endDate":"Jul 12, 2005 12:00:00 AM"}]},{"lcRole":"RO","prinApplNo":null,"prinCeName":"Luen Fat Securities Company Limited","prinCeNameChin":"聯發證券有限公司","prinCeRef":"AAG378","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":1,"actDesc":"Dealing in Securities","cactDesc":"證券交易","parentType":null},"effectivePeriodList":[{"effectiveDate":"Jul 12, 2005 12:00:00 AM","endDate":"Mar 1, 2022 12:00:00 AM"}]},{"lcRole":"RO","prinApplNo":null,"prinCeName":"K. L. Securities Company","prinCeNameChin":"淦聯證券投資公司","prinCeRef":"AAA022","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":1,"actDesc":"Dealing in Securities","cactDesc":"證券交易","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Mar 31, 2005 12:00:00 AM"}]},{"lcRole":"RO","prinApplNo":null,"prinCeName":"K. L. Securities Company","prinCeNameChin":"淦聯證券投資公司","prinCeRef":"AAA022","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":4,"actDesc":"Advising on Securities","cactDesc":"就證券提供意見","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Mar 15, 2005 12:00:00 AM"}]},{"lcRole":"RO","prinApplNo":null,"prinCeName":"K. L. Securities Company","prinCeNameChin":"淦聯證券投資公司","prinCeRef":"AAA022","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":6,"actDesc":"Advising on Corporate Finance","cactDesc":"就機構融資提供意見","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Mar 15, 2005 12:00:00 AM"}]},{"lcRole":"RO","prinApplNo":null,"prinCeName":"K. L. Securities Company","prinCeNameChin":"淦聯證券投資公司","prinCeRef":"AAA022","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":9,"actDesc":"Asset Management","cactDesc":"提供資產管理","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Mar 15, 2005 12:00:00 AM"}]}] [] True True https://apps.sfc.hk/publicregWeb/indi/AAA024/licenceRecord
AAA030 0fdfa74893da17979540f81903caddc3 [{"lcRole":"RE","prinApplNo":null,"prinCeName":"Get Nice Securities Limited","prinCeNameChin":"結好證券有限公司","prinCeRef":"AAA847","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"A","raCategory":null,"actType":1,"actDesc":"Dealing in Securities","cactDesc":"證券交易","parentType":null},"effectivePeriodList":[{"effectiveDate":"May 26, 2022 12:00:00 AM","endDate":null}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"North Sea Securities Limited","prinCeNameChin":"立生證券有限公司","prinCeRef":"ACI593","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":1,"actDesc":"Dealing in Securities","cactDesc":"證券交易","parentType":null},"effectivePeriodList":[{"effectiveDate":"Jun 18, 2008 12:00:00 AM","endDate":"May 1, 2022 12:00:00 AM"},{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Dec 1, 2004 12:00:00 AM"}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"North Sea Securities Limited","prinCeNameChin":"立生證券有限公司","prinCeRef":"ACI593","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":4,"actDesc":"Advising on Securities","cactDesc":"就證券提供意見","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Oct 29, 2004 12:00:00 AM"}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"North Sea Securities Limited","prinCeNameChin":"立生證券有限公司","prinCeRef":"ACI593","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":6,"actDesc":"Advising on Corporate Finance","cactDesc":"就機構融資提供意見","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Oct 29, 2004 12:00:00 AM"}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"North Sea Securities Limited","prinCeNameChin":"立生證券有限公司","prinCeRef":"ACI593","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":9,"actDesc":"Asset Management","cactDesc":"提供資產管理","parentType":null},"effectivePeriodList":[{"effectiveDate":"Apr 1, 2003 12:00:00 AM","endDate":"Oct 29, 2004 12:00:00 AM"}]}] [] True True https://apps.sfc.hk/publicregWeb/indi/AAA030/licenceRecord
AAA034 e92fc0636bf3ef8023bab0abee3e706d [{"lcRole":"RE","prinApplNo":null,"prinCeName":"Tung Shing Securities (Brokers) Limited","prinCeNameChin":"東盛證券(經紀)有限公司","prinCeRef":"ACP065","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":1,"actDesc":"Dealing in Securities","cactDesc":"證券交易","parentType":null},"effectivePeriodList":[{"effectiveDate":"Jul 20, 2016 12:00:00 AM","endDate":"Feb 12, 2017 12:00:00 AM"}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"SinoPac Securities (Asia) Limited","prinCeNameChin":"永豐金證券(亞洲)有限公司","prinCeRef":"ACD026","lcType":null,"regulatedActivity":{"effDate":null,"endDate":null,"status":"R","raCategory":null,"actType":1,"actDesc":"Dealing in Securities","cactDesc":"證券交易","parentType":null},"effectivePeriodList":[{"effectiveDate":"Jan 28, 2016 12:00:00 AM","endDate":"Jun 15, 2016 12:00:00 AM"}]},{"lcRole":"RE","prinApplNo":null,"prinCeName":"BOCOM International Securities 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