Personnel Hong Kong SFC License Details (ID 103984)

Personnel Hong Kong SFC License Details (ID 103984)

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
Alpha Asset Management (HK) Limited	RO	Advising on securities	2020-11-06	-
	RO	Asset management	2020-11-06	-
AMPLE CAPITAL LIMITED	RO	Advising on securities	2017-04-25	2020-10-31
	RO	Asset management	2017-04-25	2020-10-31
HSBC SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2005-05-10	2005-11-12
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-03-03
	Rep	Dealing in securities	2003-04-01	2004-03-03
	Rep	Advising on securities	2003-04-01	2005-05-06