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Details - Information last confirmed on May 25, 2021

License:
-Type 1, Dealing in Securities (HK Stock Trading, US Stock Trading, Margin Financing)
-Type 2, Dealing in Futures Contracts (HK Futures and Options, Global Futures and Options.)
-Type 4, Advising on Securities
-Type 5, Advising on Futures Contracts
-Type 9, Asset Management (For Type 9 regulated activity, the licensee shall not conduct business involving the discretionary management of any collective investment scheme. The term "collective investment scheme" is as defined under the Securities and Futures Ordinance.)
-HKEX Stock Trading Right
-HKEX Futures Trading Right
-HKEX Direct Clearing Participant of HKSCC (Securities)
-HKEX Clearing Participant of HKCC (Futures)

Commencement: 2016 (4 years)
License expiry date: No limitation
Business nature:
- HK and US Stock Brokerage
- HK And Global Futures Brokerage Low Latency Warrant Trading System Gold Market Marker of HKEX
- US Stock Cross-Market Trading System
- Securities Trading Consultation Services
- Futures Trading Consultation Services
- Discretionary Account Management
- Investment Education


HK Stock Market Transaction Ranking: 79/645 (Based on recorded Turnover of 2020)

Asking price: USD 1.3m
*Proof of funds required as well as KYC of the potential entity or beneficial owner interested in purchasing this firm

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Disclaimer: DealStream has not independently verified any of the information in this listing and makes no warranty as to its accuracy or completeness. This listing does not constitute an offer to sell, solicit or make an offer to buy an investment interest. Offers to sell, or the solicitation of offers to buy, any security can only be made through official offering documents, such as a subscription agreement and private placement memorandum.