Personnel Hong Kong SFC License Details (ID 111797)

Personnel Hong Kong SFC License Details (ID 111797)

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
RICHE BRIGHT SECURITIES LIMITED	RO	Asset management	2022-03-07	2023-01-08
ZM ASSET MANAGEMENT LIMITED (GBEN)	RO	Advising on securities	2021-04-29	2021-11-30
	RO	Asset management	2021-04-29	2021-11-30
New Vision Asset Management Limited	RO	Asset management	2017-10-12	2021-04-06
LERTHAI Asset Management Limited	RO	Advising on securities	2017-03-23	2017-09-30
	RO	Asset management	2016-07-29	2017-09-30
Guo Tong Capital Management Company Limited	Rep	Advising on securities	2013-05-15	2013-08-07
	Rep	Asset management	2013-05-15	2013-08-07
TARGET CAPITAL MANAGEMENT LIMITED (HK)	Rep	Advising on securities	2009-05-27	2010-05-14
	Rep	Asset management	2009-05-27	2010-05-14
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2004-06-23	2008-03-13
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2004-03-30	2008-03-13
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2004-03-30	2008-03-13
RBC GLOBAL ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on corporate finance	-	2004-02-16
	Rep	Asset management	-	2004-02-16
	Rep	Advising on securities	-	2004-03-24
	Rep	Dealing in securities	-	2004-03-24