Personnel Hong Kong SFC License Details (ID 107325)

Personnel Hong Kong SFC License Details (ID 107325)

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
LiZen Asset Management Limited	RO	Advising on securities	2018-12-04	2026-03-31
	RO	Asset management	2018-12-04	2026-03-31
LONGMEGA ASSET INVESTMENT MANAGEMENT LIMITED	RO	Advising on securities	2017-09-14	2018-07-16
	RO	Asset management	2017-09-14	2018-07-16
	Rep	Advising on securities	2017-08-02	2017-09-14
	Rep	Asset management	2017-08-02	2017-09-14
Senchi Morgan Assets Management Limited	RO	Advising on securities	2017-02-01	2017-06-02
	RO	Asset management	2017-02-01	2017-06-02
CPLUS SECURITIES LIMITED	RO	Advising on securities	2016-02-18	2016-06-30
	RO	Dealing in securities	2016-02-18	2016-06-30
DALTON CAPITAL (HONG KONG) LIMITED	Rep	Asset management	2007-05-23	2013-12-31
	Rep	Dealing in securities	2007-04-23	2007-06-14
DBS VICKERS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-09-03	2007-04-12
	Rep	Dealing in securities	2004-09-03	2007-04-12
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Advising on corporate finance	-	2004-03-02
	Rep	Advising on securities	-	2004-03-02
	Rep	Dealing in securities	-	2004-08-25
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	-	2004-08-25