Personnel Hong Kong SFC License Details (ID 100642)

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
Grand Profit Financial Company Limited	RO	Advising on securities	2024-01-26	2026-05-04
	RO	Asset management	2024-01-26	2026-05-04
	Rep	Advising on securities	2023-12-28	2024-01-26
	Rep	Asset management	2023-12-28	2024-01-26
Red South Investment Management Limited	RO	Advising on securities	2023-02-27	2023-06-18
	RO	Asset management	2023-02-27	2023-06-18
	Rep	Advising on securities	2022-12-08	2023-01-27
	Rep	Asset management	2022-12-08	2023-01-27
Babel Asset Management (HK) Limited	RO	Advising on securities	2019-03-18	2022-07-15
	RO	Asset management	2019-03-18	2022-07-15
HX Innovation Capital Management Co. Limited	RO	Asset management	2016-01-29	2016-11-18
IAM LEGACY LIMITED	RO	Advising on securities	2014-10-23	2015-04-30
	RO	Asset management	2014-10-23	2015-04-30
SKYVAST ASSET MANAGEMENT LIMITED	RO	Asset management	2013-04-25	2014-01-01
CREATIVE ASSET MANAGEMENT LIMITED (HK)	RO	Advising on securities	2008-07-09	2012-11-05
	RO	Asset management	2008-07-09	2012-11-05
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2004-11-15	2008-07-01
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-11-15	2008-07-01
	Rep	Dealing in futures contracts	2003-12-12	2004-08-25
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	-	2003-11-12
	Rep	Advising on securities	-	2003-11-12
	Rep	Asset management	-	2003-11-12
	Rep	Providing automated trading services	-	2003-11-12
	Rep	Dealing in securities	-	2004-08-25
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	-	2003-11-12
	Rep	Advising on securities	-	2003-11-12
	Rep	Asset management	-	2003-11-12
	Rep	Dealing in securities	-	2003-11-12