Personnel Hong Kong SFC License Details (ID 101412)

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
dLab Asset Management Limited	RO	Advising on securities	2021-02-02	2024-12-17
	RO	Asset management	2021-02-02	2024-12-17
GLAM Capital Limited	Rep	Advising on securities	2019-04-04	2019-05-08
	Rep	Asset management	2019-04-04	2019-05-08
Beevest Fortune Asset Management Limited	RO	Advising on securities	2015-11-10	2019-02-08
	RO	Asset management	2015-11-10	2019-02-08
313 CAPITAL MANAGEMENT LIMITED 313	RO	Advising on securities	2014-11-04	2015-10-20
	RO	Asset management	2014-11-04	2015-10-20
	Rep	Advising on securities	2014-09-05	2014-11-04
	Rep	Asset management	2014-09-05	2014-11-04
Growth Track Asset Management Limited	RO	Asset management	2014-03-18	2014-08-15
IMPERIAL CAPITAL LIMITED (HK)	RO	Advising on securities	2012-11-13	2014-02-17
	RO	Asset management	2012-11-13	2014-02-17
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2008-12-02	2009-01-10
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2008-10-09	2009-01-10
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2008-10-09	2009-01-10
CMS CAPITAL (HK) CO., LIMITED	RO	Advising on securities	2008-06-02	2009-01-10
	RO	Asset management	2008-06-02	2009-01-10
	Rep	Asset management	2007-09-25	2007-10-15
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	RO	Advising on securities	2007-04-25	2009-01-10
	RO	Asset management	2007-04-25	2009-01-10
	Rep	Advising on securities	2007-03-21	2007-04-25
	Rep	Asset management	2007-03-21	2007-04-25
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2005-04-07	2009-01-10
	Rep	Asset management	2005-04-07	2009-01-10