Personnel Hong Kong SFC License Details (ID 113954)

Personnel Hong Kong SFC License Details (ID 113954)

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
Fubon Fund Management (Hong Kong) Limited	Rep	Advising on securities	2020-05-29	-
BOCOM Schroder Asset Management (Hong Kong) Company Limited	Rep	Advising on securities	2015-10-02	2017-08-01
	Rep	Dealing in securities	2015-10-02	2017-08-01
RHB SECURITIES HONG KONG LIMITED	Rep	Advising on securities	2008-10-13	2008-12-13
	Rep	Dealing in securities	2008-10-13	2008-12-13
ORIENTAL PATRON ASIA LIMITED	Rep	Advising on corporate finance	2006-08-08	2006-09-14
OnePlatform Asset Management Limited	Rep	Advising on securities	2005-11-16	2006-05-01
PHILLIP CAPITAL MANAGEMENT (HK) LIMITED	Rep	Advising on securities	2004-06-03	2005-06-09
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2004-06-03	2005-06-09