Personnel Hong Kong SFC License Details (ID 100227)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
TradeMaster Securities (Hong Kong) Limited	RO	Advising on securities	2024-06-11	-
	RO	Asset management	2024-06-11	-
	RO	Dealing in securities	2024-06-11	-
	Rep	Advising on securities	2024-05-09	2024-06-11
	Rep	Asset management	2024-05-09	2024-06-11
	Rep	Dealing in securities	2024-05-09	2024-06-11
SPIC Asset Management (Hong Kong) Company Limited	RO	Advising on securities	2023-06-13	2024-03-31
	RO	Dealing in securities	2023-06-13	2024-03-31
	RO	Asset management	2020-09-01	2024-03-31
Axis Capital Management Limited	Rep	Advising on securities	2019-12-02	2020-05-07
	Rep	Asset management	2019-12-02	2020-05-07
Lakala International Asset Management Limited	RO	Advising on securities	2019-10-16	2019-10-31
	RO	Asset management	2019-10-16	2019-10-31
	RO	Dealing in securities	2019-10-16	2019-10-31
HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED	Rep	Advising on futures contracts	2017-09-21	2018-10-10
	Rep	Advising on securities	2017-09-21	2018-10-10
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2017-09-21	2018-10-10
	Rep	Advising on securities	2017-09-21	2018-10-10
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	Rep	Advising on securities	2017-09-21	2018-10-10
	Rep	Asset management	2017-09-21	2018-10-10
	Rep	Dealing in securities	2017-09-21	2018-10-10
HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED	Rep	Asset management	2017-02-15	2018-10-10
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Asset management	2015-12-03	2018-10-10
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on securities	2015-10-02	2017-06-28
	Rep	Dealing in securities	2015-10-02	2017-06-28
ABCI Securities Company Limited	Rep	Dealing in securities	2012-06-27	2012-12-10
	Rep	Advising on securities	2012-06-27	2015-08-19
VISION FINANCE ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2011-08-18	2012-06-20
	Rep	Asset management	2011-08-18	2012-06-20