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KO Ming Shan

高明山
CE AWC879Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

KO Ming Shan (CE number AWC879) is an individual licensed by the Hong Kong SFC. First licensed on 2010-11-22. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 3 (Leveraged FX), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 3 Leveraged Foreign Exchange Trading
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (3)

CapacityCompany / Institution
Responsible OfficerSouth China Investment Management Limited
南華投資管理有限公司
Responsible OfficerSouth China Securities Limited
南華證券投資有限公司
RepresentativeSouth China Commodities Limited
南華期貨有限公司

Licence Record (8)

2023-05-05 – present Current
South China Investment Management Limited RO
RA 9
2019-01-07 – present Current
South China Securities Limited RO
RA 1
2012-07-26 – present Current
South China Commodities Limited Rep
RA 2
2019-01-07 – 2020-11-06
South China Research Limited RO
RA 4
2018-10-30 – 2023-05-05
South China Investment Management Limited Rep
RA 9
2018-07-09 – 2019-01-07
South China Research Limited Rep
RA 4
2012-08-30 – 2021-02-28
South China Forex Limited Rep
RA 3
2010-11-22 – 2019-01-07
South China Securities Limited Rep
RA 1

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/AWC879