a

• Act as Sole Responsible Officer to supervise Type 1 and 2 or type 4 and 9(without any licensing condition) regulated activities
• Monitor of the daily business operations of Securities and Futures
• Ensure the workflow comply with SFC rules
• Supervise in marketing activities and client servicing
• Manage the sales team to maintain and develop new customers
• Monitor, execute and supervise dealing team. Manage the daily brokerage operations, new account opening process, and maintenance
• Ensure record keeping and maintaining proper documentation, including margin control
• Review daily reconciliation of trading positions and investigate any discrepancies
• Initiate comprehensive training to all dealers and ensure the team acts professionally at all times