Personnel Hong Kong SFC License Details (ID 100255)

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
Universal Unite Wealth Management Limited	RO	Advising on securities	2025-05-21	-
	RO	Asset management	2025-05-21	-
HONGKONG NEW PORT FUND MANAGEMENT LIMITED	RO	Advising on securities	2024-06-18	2025-02-16
	RO	Asset management	2024-06-18	2025-02-16
AJ Asset Management Limited	Rep	Asset management	2019-01-31	2024-06-17
AJ Securities Limited	RO	Advising on securities	2018-07-20	2024-06-17
	RO	Dealing in securities	2018-04-18	2024-06-17
	Rep	Dealing in securities	2018-03-09	2018-04-18
JIMEI SECURITIES LIMITED	RO	Dealing in securities	2017-08-21	2018-01-31
HEAD & SHOULDERS ASSET MANAGEMENT LIMITED	Rep	Asset management	2015-12-07	2017-07-22
Mage Securities Limited	Rep	Advising on securities	2014-07-14	2017-07-22
	RO	Dealing in securities	2014-05-19	2017-07-22
	Rep	Dealing in securities	2014-01-10	2014-05-19
SANFULL FUTURES LIMITED	Rep	Dealing in futures contracts	2012-07-16	2013-12-31
SANFULL SECURITIES LIMITED	Rep	Dealing in securities	2011-11-18	2013-12-31
RaffAello Securities (HK) Limited	Rep	Dealing in securities	2011-09-09	2011-10-31
DBS VICKERS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-08-09	2006-06-24
	Rep	Dealing in securities	2004-08-09	2006-06-24
Polaris Capital (Asia) Limited	Rep	Dealing in securities	2004-01-19	2004-08-02
Yuanta Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2004-01-19	2004-08-02
KuCoin Commodity Futures Limited	Rep	Advising on futures contracts	2003-04-01	2004-01-16
	Rep	Asset management	2003-04-01	2004-01-16
	Rep	Dealing in futures contracts	2003-04-01	2004-01-16
KuCoin HK Limited	Rep	Advising on corporate finance	2003-04-01	2004-01-16
	Rep	Advising on securities	2003-04-01	2004-01-16
	Rep	Asset management	2003-04-01	2004-01-16
	Rep	Dealing in securities	2003-04-01	2004-01-16