Unofficial — this is NOT the SFC. Independent site, not affiliated with the Securities and Futures Commission of Hong Kong. All information is compiled from SFC, HKMA and other public regulatory records and is for reference only — verify on the official SFC website before relying on it.
SFC Radar
中文 ← Back to search

HE Hua

何華
CE AOV195Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

HE Hua (CE number AOV195) is an individual licensed by the Hong Kong SFC. First licensed on 2007-04-20. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible Officer9M Stone Capital Limited
九石資本有限公司

Licence Record (7)

2016-05-03 – present Current
9M Stone Capital Limited RO
RA 4 RA 9
2014-02-18 – 2015-08-28
Capula Investment Management Asia Limited RO
RA 1 RA 9
2014-02-06 – 2015-09-15
Capula Investment Management Asia Limited Rep
RA 1 RA 9
2012-03-14 – 2014-01-30
China International Capital Corporation Hong Kong Securities Limited RO
RA 1 RA 4
2011-08-03 – 2012-05-29
China International Capital Corporation Hong Kong Securities Limited Rep
RA 4
2008-10-10 – 2011-04-16
Nomura International (Hong Kong) Limited Rep
RA 4
2007-04-20 – 2008-09-29
Lehman Brothers Asia Limited Rep
RA 4

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/AOV195