Personnel Hong Kong SFC License Details (ID 102204)

Personnel Hong Kong SFC License Details (ID 102204)

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
Lion Global Financial Limited	Rep	Asset management	2019-04-10	2019-08-23
	Rep	Advising on securities	2019-03-07	2019-08-23
	Rep	Dealing in securities	2019-03-07	2019-08-23
Avenue Family Office Limited	Rep	Advising on securities	2018-02-12	2018-08-10
	Rep	Dealing in securities	2018-02-12	2018-08-10
D&AMP;R INTERNATIONAL CAPITAL MANAGEMENT (HONG KONG) LIMITED	Rep	Advising on securities	2016-05-18	2017-06-22
	Rep	Dealing in securities	2016-05-18	2017-06-22
TARGET CAPITAL MANAGEMENT LIMITED (HK)	Rep	Asset management	2013-07-29	2013-08-07
	Rep	Dealing in securities	2012-11-19	2013-08-07
	Rep	Advising on securities	2012-08-13	2013-08-07
AIA WEALTH MANAGEMENT COMPANY LIMITED	Rep	Dealing in securities	2007-09-17	2008-06-27
	Rep	Advising on securities	2007-09-17	2009-07-16
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2004-09-09	2005-05-06
LLOYDS TSB PACIFIC LIMITED	Rep	Advising on securities	2004-01-20	2004-04-14
	Rep	Dealing in securities	2004-01-20	2004-04-14
FT Securities Limited	Rep	Advising on corporate finance	-	2003-11-07
	Rep	Advising on securities	-	2003-11-07
	Rep	Asset management	-	2003-11-07
	Rep	Dealing in securities	-	2003-11-07