Personnel Hong Kong SFC License Details (ID 110028)

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
LUPU (HONG KONG) LIMITED	RO	Advising on securities	2021-09-02	-
	RO	Asset management	2021-09-02	-
	RO	Dealing in securities	2021-09-02	-
	Rep	Advising on securities	2021-08-16	2021-09-02
	Rep	Asset management	2021-08-16	2021-09-02
	Rep	Dealing in securities	2021-08-16	2021-09-02
Changchun Securities Limited	RO	Advising on securities	2018-06-11	2021-08-15
	RO	Asset management	2018-06-11	2021-08-15
	RO	Dealing in securities	2018-06-11	2021-08-15
AIF Securities Limited	RO	Dealing in securities	2017-03-20	2017-11-30
Amber Hill Asset Management Limited	RO	Advising on securities	2017-03-20	2017-11-30
	RO	Asset management	2017-03-20	2017-11-30
AIF Securities Limited	Rep	Dealing in securities	2017-01-18	2017-03-20
Amber Hill Asset Management Limited	Rep	Advising on securities	2017-01-18	2017-03-20
	Rep	Asset management	2017-01-18	2017-03-20
China Hong Kong Capital Asset Management Company Limited	RO	Asset management	2016-07-25	2017-01-07
	RO	Dealing in securities	2016-07-25	2017-01-07
ICBC INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2010-01-14	2010-12-16
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2010-01-14	2010-12-16
Everbright Securities Investment Services (HK) Limited	Rep	Advising on securities	2009-01-14	2010-01-01
CES Forex (HK) Limited	Rep	Leveraged foreign exchange trading	2004-09-04	2010-01-01
CES Commodities (HK) Limited	Rep	Advising on futures contracts	2003-04-01	2004-01-20
	Rep	Asset management	2003-04-01	2004-01-20
	Rep	Dealing in futures contracts	2003-04-01	2010-01-01
Everbright Securities Investment Services (HK) Limited	Rep	Providing automated trading services	2003-04-01	2003-07-07
	Rep	Advising on corporate finance	2003-04-01	2004-01-20
	Rep	Advising on securities	2003-04-01	2004-01-20
	Rep	Asset management	2003-04-01	2004-01-20
	Rep	Dealing in securities	2003-04-01	2010-01-01