Personnel Hong Kong SFC License Details (ID 102645)

Personnel Hong Kong SFC License Details (ID 102645)

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
ON EXCEL ASSET MANAGEMENT LIMITED	RO	Advising on futures contracts	2021-03-29	2022-04-30
	RO	Advising on futures contracts	2019-12-05	2020-09-10
	RO	Advising on securities	2019-12-05	2022-04-30
	RO	Asset management	2019-12-05	2022-04-30
GUO BANG (HK) ASSET MANAGEMENT LIMITED	RO	Asset management	2018-01-10	2019-11-29
Planetree Asset Management Limited (HK)	RO	Asset management	2012-09-20	2017-11-01
MAPLE LEAF CAPITAL (HK) LIMITED	RO	Asset management	2008-04-16	2010-10-20
Credit Suisse (Hong Kong) Limited	Rep	Dealing in securities	2005-04-14	2007-08-20
Credit Suisse Futures (Hong Kong) Limited	Rep	Advising on futures contracts	-	2005-02-15
	Rep	Asset management	-	2005-02-15
	Rep	Providing automated trading services	-	2007-08-20
	Rep	Dealing in futures contracts	-	2007-08-20
Credit Suisse Securities (Hong Kong) Limited	Rep	Providing automated trading services	-	2003-08-22
	Rep	Advising on corporate finance	-	2005-02-15
	Rep	Advising on securities	-	2005-02-15
	Rep	Asset management	-	2005-02-15
	Rep	Dealing in securities	-	2007-08-20