Personnel Hong Kong SFC License Details (ID 100841)

Personnel Hong Kong SFC License Details (ID 100841)

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
Plouton Asset Management Limited	RO	Asset management	2024-01-31	-
Select Investment Services Limited (HK)	RO	Advising on securities	2024-01-31	-
	Rep	Dealing in securities	2024-01-31	-
Canfield Securities Company Limited	Rep	Dealing in securities	2019-12-09	2023-08-31
	RO	Advising on securities	2019-09-02	2023-08-31
	RO	Asset management	2019-09-02	2023-08-31
KBR Fund Management Limited	RO	Advising on securities	2017-11-24	2019-08-31
	RO	Asset management	2017-11-24	2019-08-31
	Rep	Advising on securities	2017-09-25	2017-11-24
	Rep	Asset management	2017-09-25	2017-11-24
Phoenix Capital (International) Limited	RO	Advising on securities	2016-11-29	2017-03-30
	RO	Asset management	2016-11-29	2017-03-30
CC Finance Limited	Rep	Advising on corporate finance	2008-10-20	2011-03-01
	Rep	Advising on securities	2008-10-20	2011-03-01
	Rep	Dealing in securities	2008-10-20	2011-03-01
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	Rep	Advising on securities	2007-09-27	2008-05-01
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2006-04-11	2008-05-01
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	Rep	Advising on corporate finance	2006-04-11	2008-05-01
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2006-04-11	2008-05-01