| ADVISORY |
ADVISORY |
90%
|
Largest customer Advisory 28 % |
| INTRODUCING-REFERRAL-INCOME |
INTRODUCING-REFERRAL-INCOME |
90%
|
3 rd largest customer Introducing/referral income 11 % |
| LARGEST-CUSTOMER-FOR-THE-YEAR-ENDED-MARCH-31-202 |
LARGEST-CUSTOMER-FOR-THE-YEAR-ENDED-MARCH-31-202 |
90%
|
the largest customer for the year ended March 31, 2023 engaged us for our underwriting services |
| SECURITIES-DEALING-AND-BROKERAGE |
SECURITIES-DEALING-AND-BROKERAGE |
90%
|
4 th largest customer Securities Dealing and Brokerage 3 % |
| UNDERWRITING-PLACING |
UNDERWRITING-PLACING |
90%
|
5 th largest customer Underwriting/Placing 3 % |
| UNDERWRITING-PLACING-INTRODUCING-REFERRAL-INCOME |
UNDERWRITING-PLACING-INTRODUCING-REFERRAL-INCOME |
90%
|
2 nd largest customer Underwriting/Placing & Introducing/referral income 12 % |
| UNDERWRITING-PLACING-SECURITIES-DEALING-AND-BROK |
UNDERWRITING-PLACING-SECURITIES-DEALING-AND-BROK |
90%
|
Largest customer Underwriting/Placing & Securities Dealing and Brokerage 20 % |
| ACCORDINGLY-ORIENTAL-MOON-TREE-LIMITED |
ACCORDINGLY-ORIENTAL-MOON-TREE-LIMITED |
62%
|
sponding penalties. On July 14, 2020, the former U.S. President Donald Trump signed the Hong Kong Autonomy Act, or HKAA, into law, authorizing the U.S. administration to impose blocking sanctions aga… |
| AVIA-TRUST-LIMITED |
AVIA-TRUST-LIMITED |
62%
|
ntered into the Investment Management Agreement with AVIA Trust Limited (“Avia Trust”), a professional trust and escrow services provider registered under the Trustee Ordinance of Hong Kong. Pursuant… |
| CHINA-INSURANCE-GROUP |
CHINA-INSURANCE-GROUP |
62%
|
8 898,076 254,673 1,505,627 Less: allowance for expected credit losses ( 6,610 ) - Total receivables from customers, net $ 248,063 $ 1,505,627 Related party Receivables related to securities brokerag… |
| CHINA-UNION-FINANCIAL-HOLDING-LIMITED |
CHINA-UNION-FINANCIAL-HOLDING-LIMITED |
62%
|
IWHL, is a company incorporated in Hong Kong with limited liability on March 25, 2020 with a share capital of HK$ 900,000 (approximately $ 0.1 million). IWAML is licensed with the HKSFC to carry out … |
| CLEARING-LIMITED |
CLEARING-LIMITED |
62%
|
lity Our subsidiaries currently do not experience seasonality in their operations. Sales and Marketing The staff dealers, self-employed Account Executives and senior management of the Operating Subsi… |
| CMBC-SECURITIES-COMPANY-LIMITED |
CMBC-SECURITIES-COMPANY-LIMITED |
62%
|
or to joining CMBC Securities Company Limited, Mr. Chan served as the Manager of the Wealth Management division of CITICS Securities International, from July 2011 to July 2017. Mr. Chan received a Ba… |
| CONTROLLING-SHAREHOLDER-ORIENTAL-MOON-TREE-LIMIT |
CONTROLLING-SHAREHOLDER-ORIENTAL-MOON-TREE-LIMIT |
62%
|
sponding penalties. On July 14, 2020, the former U.S. President Donald Trump signed the Hong Kong Autonomy Act, or HKAA, into law, authorizing the U.S. administration to impose blocking sanctions aga… |
| COURAGEOUS-WEALTH-LIMITED |
COURAGEOUS-WEALTH-LIMITED |
62%
|
sponding penalties. On July 14, 2020, the former U.S. President Donald Trump signed the Hong Kong Autonomy Act, or HKAA, into law, authorizing the U.S. administration to impose blocking sanctions aga… |
| DOMINARI-SECURITIES-LLC |
DOMINARI-SECURITIES-LLC |
62%
|
tories. We also assess historical collection trends, aging of receivables, securities it holds on hand of these counterparts. Saved as receivables from customers related to brokerage transactions of … |
| FLOOR-CHINA-INSURANCE-GROUP |
FLOOR-CHINA-INSURANCE-GROUP |
62%
|
f names and particulars of terrorist suspects and designated parties which consolidates the information from various lists that have been made known to them, as well as conduct comprehensive on-going… |
| HAITONG-SECURITIES-INTERNATIONAL-SECURITIES-GROU |
HAITONG-SECURITIES-INTERNATIONAL-SECURITIES-GROU |
62%
|
or to joining CMBC Securities Company Limited, Mr. Chan served as the Manager of the Wealth Management division of CITICS Securities International, from July 2011 to July 2017. Mr. Chan received a Ba… |
| HONG-KONG-CHINA-UNION-FINANCIAL-HOLDING-LIMITED |
HONG-KONG-CHINA-UNION-FINANCIAL-HOLDING-LIMITED |
62%
|
ts affiliates; 94 (d) if the registered person provides services in securities or futures contracts listed or traded on one of the Hong Kong exchanges or in derivatives, including over-the counter de… |
| HONG-KONG-LIMITED |
HONG-KONG-LIMITED |
62%
|
lity Our subsidiaries currently do not experience seasonality in their operations. Sales and Marketing The staff dealers, self-employed Account Executives and senior management of the Operating Subsi… |
| HONG-KONG-SECURITIES-CLEARING-COMPANY-LIMITED |
HONG-KONG-SECURITIES-CLEARING-COMPANY-LIMITED |
62%
|
Item 16E. Purchases of Equity Securities by the Issuer and Affiliated Purchasers 110 Item 16F. Change in Registrant’s Certifying Accountant 110 Item 16G. Corporate Governance 111 Item 16H. Mine Safet… |
| ORDINARY-SHARE-REVERE-SECURITIES-LLC |
ORDINARY-SHARE-REVERE-SECURITIES-LLC |
62%
|
tories. We also assess historical collection trends, aging of receivables, securities it holds on hand of these counterparts. Saved as receivables from customers related to brokerage transactions of … |
| ORIENTAL-MOON-TREE-LIMITED |
ORIENTAL-MOON-TREE-LIMITED |
62%
|
sponding penalties. On July 14, 2020, the former U.S. President Donald Trump signed the Hong Kong Autonomy Act, or HKAA, into law, authorizing the U.S. administration to impose blocking sanctions aga… |
| RUN-INVESTMENT-SERVICE-LIMITED |
RUN-INVESTMENT-SERVICE-LIMITED |
62%
|
or to joining CMBC Securities Company Limited, Mr. Chan served as the Manager of the Wealth Management division of CITICS Securities International, from July 2011 to July 2017. Mr. Chan received a Ba… |
| SHINING-SECURITIES-COMPANY-LIMITED |
SHINING-SECURITIES-COMPANY-LIMITED |
62%
|
or to joining CMBC Securities Company Limited, Mr. Chan served as the Manager of the Wealth Management division of CITICS Securities International, from July 2011 to July 2017. Mr. Chan received a Ba… |
| SHOULDERS-SECURITIES-LIMITED |
SHOULDERS-SECURITIES-LIMITED |
62%
|
or to joining CMBC Securities Company Limited, Mr. Chan served as the Manager of the Wealth Management division of CITICS Securities International, from July 2011 to July 2017. Mr. Chan received a Ba… |
| SMARK-HOLDING-LIMITED |
SMARK-HOLDING-LIMITED |
62%
|
end collection services rendered. (4) The amounts for the years ended March 31, 2023 and 2022 represented income from investment management services rendered. (5) The amounts for the years ended Marc… |
| UNO-LIMITED |
UNO-LIMITED |
62%
|
Item 16E. Purchases of Equity Securities by the Issuer and Affiliated Purchasers 110 Item 16F. Change in Registrant’s Certifying Accountant 110 Item 16G. Corporate Governance 111 Item 16H. Mine Safet… |
| VC-BROKERAGE-LIMITED |
VC-BROKERAGE-LIMITED |
62%
|
or to joining CMBC Securities Company Limited, Mr. Chan served as the Manager of the Wealth Management division of CITICS Securities International, from July 2011 to July 2017. Mr. Chan received a Ba… |
| VIEWTRADE-SECURITIES-INC |
VIEWTRADE-SECURITIES-INC |
62%
|
Operating Subsidiaries have engaged ViewTrade Securities, Inc. (“ViewTrade”), a securities broker-dealer in the U.S., as the primary external broker for the U.S exchanges. Our Operating Subsidiaries … |
