Personnel Hong Kong SFC License Details (ID 10316)

Personnel Hong Kong SFC License Details (ID 10316)

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
Sprout Asset Management (Asia) Limited	Rep	Advising on securities	2021-08-24	2021-09-10
	Rep	Asset management	2021-08-24	2021-09-10
	Rep	Dealing in securities	2021-08-24	2021-09-10
	RO	Advising on securities	2014-12-08	2021-08-24
	RO	Asset management	2014-12-08	2021-08-24
	RO	Dealing in securities	2014-12-08	2021-08-24
CASH Wealth Management Limited	RO	Advising on securities	2011-01-17	2011-05-16
	RO	Asset management	2011-01-17	2011-05-16
	RO	Dealing in securities	2011-01-17	2011-05-16
LIS Investment Services Limited	RO	Advising on securities	2008-01-09	2010-07-23