Personnel Hong Kong SFC License Details (ID 110470)

Personnel Hong Kong SFC License Details (ID 110470)

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
Golden K2 Securities Limited	Rep	Dealing in securities	2018-07-13	2023-11-28
Maxcess Capital Limited	Rep	Advising on securities	2018-07-13	-
	Rep	Asset management	2018-07-13	-
Carret Private Capital Limited	Rep	Advising on securities	2017-02-06	2018-05-11
	Rep	Dealing in securities	2017-02-06	2018-05-11
	Rep	Asset management	2016-03-08	2018-05-11
CNCB (Hong Kong) Capital Limited	Rep	Asset management	2016-01-28	2016-03-02
	RO	Asset management	2015-06-23	2016-01-28
AIA WEALTH MANAGEMENT COMPANY LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-06-05
	Rep	Advising on securities	2003-04-01	2004-09-20
	Rep	Asset management	2003-04-01	2004-09-20
	Rep	Dealing in securities	2003-04-01	2004-09-20