Personnel Hong Kong SFC License Details (ID 107965)

Personnel Hong Kong SFC License Details (ID 107965)

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
CIS SECURITIES ASSET MANAGEMENT LIMITED	RO	Advising on securities	2023-07-11	2026-08-24
	RO	Asset management	2023-07-11	2026-08-24
	RO	Dealing in securities	2023-07-11	2026-08-24
	Rep	Advising on securities	2023-03-30	2023-07-11
	Rep	Asset management	2023-03-30	2023-07-11
	Rep	Dealing in securities	2023-03-30	2023-07-11
Sprout Asset Management (Asia) Limited	Rep	Advising on securities	2022-07-12	2023-02-20
	Rep	Asset management	2022-07-12	2023-02-20
	Rep	Dealing in securities	2022-07-12	2023-02-20
	RO	Advising on securities	2019-06-10	2022-07-12
	RO	Asset management	2019-06-10	2022-07-12
	RO	Dealing in securities	2019-06-10	2022-07-12
Keptain Securities and Asset Management Limited	RO	Asset management	2013-01-24	2019-05-31
	RO	Dealing in securities	2013-01-24	2019-05-31
OnePlatform Asset Management Limited	RO	Asset management	2009-08-06	2010-03-16
	Rep	Dealing in securities	2007-09-12	2010-03-16
	Rep	Advising on securities	-	2010-03-16