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HO Siu Man

何小敏
CE AFQ330Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

HO Siu Man (CE number AFQ330) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 6 (Corporate finance), Type 7 (Automated trading), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (6)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 7 Providing Automated Trading Services
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerChina Galaxy International Futures (Hong Kong) Co., Limited
中國銀河國際期貨(香港)有限公司
Responsible OfficerChina Galaxy International Securities (Hong Kong) Co., Limited
中國銀河國際證券(香港)有限公司

Licence Record (6)

2018-06-21 – present Current
China Galaxy International Securities (Hong Kong) Co., Limited RO
RA 1
2018-06-21 – present Current
China Galaxy International Futures (Hong Kong) Co., Limited RO
RA 2
2012-01-03 – 2018-06-21
China Galaxy International Futures (Hong Kong) Co., Limited Rep
RA 2
2011-10-14 – 2018-06-21
China Galaxy International Securities (Hong Kong) Co., Limited Rep
RA 1
2004-09-13 – 2011-08-08
Corporate Commodities Limited Rep
RA 2
2003-04-01 – 2011-08-08
Corporate Brokers Limited Rep
RA 1 RA 4 RA 6 RA 7 RA 9

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AFQ330