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

PENG Jia

彭佳
CE AQV994Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

PENG Jia (CE number AQV994) is an individual licensed by the Hong Kong SFC. First licensed on 2008-04-16. 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 8 (Securities margin financing), 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 8 Securities Margin Financing
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerOshidori Securities Limited
威華達證券有限公司
Responsible OfficerWin Wind Finance Limited

Licence Record (6)

2022-04-14 – present Current
Win Wind Finance Limited RO
RA 8
2016-08-29 – present Current
Oshidori Securities Limited RO
RA 1 RA 2 RA 4 RA 9
2013-12-31 – 2023-05-22
Oshidori Securities Limited Rep
RA 1 RA 2 RA 4 RA 9
2013-12-31 – 2016-06-19
Mason Investment Management Limited Rep
RA 4 RA 9
2008-04-16 – 2009-02-17
Macquarie Capital Limited Rep
RA 6
2008-04-16 – 2009-02-17
Macquarie Corporate (Hong Kong) Limited Rep
RA 6

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/AQV994