[SOLD] Profile of an SFC Licensed Corporation 證監會持牌公司的資料

Type of Licence (RA)Type 1,2,4,5,9
Licence Conditions
  • 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)
Commencement2016 years. (4 years)
License expiry dateNo Limitation
AddressKwun Tong
Number of Employees12
Salary of EmployeesAround HKD 300,000 per month (Include Salary of ROs)
Number of Clients>800

Number of Active



HK Stock Market

Transaction Ranking


(Based on recorded Turnover of 2020)

Futures TurnoverAvg 90,000 lots per month in 2020
Financial performance of 2020Flat
Paid-up CapitalHKD 30,000,000
NAVAround HKD 18,000,000
HKEX DepositAround HKD 5,000,000
CashAround HKD 12,000,000
Rental ContractAround HKD 70,000 per month (Expiry date is on Dec 2021)
Number of ROs3 (All can stay)
Salary of ROsAround HKD 110,000 per month
Number of Shareholders

Licensed corporation hold by one parent company;

Parent company hold by three parties with 33.33% shares each

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

Other details:

  1. The Firm has a clean client record with no open or unresolved legal issues.
  2. Buyer has the choice of taking over current office location or seek new premise and Desfran is able to assist.

Note: Proof of funds required as well as KYC of potential entity or beneficial owner interested in purchasing this firm.


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