Personnel Hong Kong SFC License Details (ID 112007)

Personnel Hong Kong SFC License Details (ID 112007)

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
AVANTA INVESTMENT MANAGEMENT LIMITED	RO	Advising on securities	2023-06-29	-
	RO	Asset management	2023-06-29	-
	Rep	Advising on securities	2023-05-29	2023-06-29
	Rep	Asset management	2023-05-29	2023-06-29
TVC MANAGEMENT LIMITED	RO	Advising on securities	2018-01-24	2023-02-09
	RO	Asset management	2018-01-24	2023-02-09
	Rep	Advising on securities	2017-09-12	2018-01-24
	Rep	Asset management	2017-09-12	2018-01-24
AVANTA INVESTMENT MANAGEMENT LIMITED	Rep	Advising on securities	2008-01-25	2009-01-24
	Rep	Asset management	2008-01-25	2009-01-24
KGI ASIA LIMITED	Rep	Advising on securities	2004-12-16	2006-09-07
TIS SECURITIES (HK) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-05-07
	Rep	Advising on securities	2003-04-01	2004-05-07
	Rep	Asset management	2003-04-01	2004-05-07