Personnel Hong Kong SFC License Details (ID 114045)

Personnel Hong Kong SFC License Details (ID 114045)

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
Safari Asia Limited	Rep	Advising on securities	2014-01-09	2014-11-28
	Rep	Asset management	2014-01-09	2014-11-28
SOFAER GLOBAL RESEARCH (HK) LIMITED	Rep	Advising on securities	2012-05-15	2013-07-17
	Rep	Asset management	2012-05-15	2013-07-17
RAB CAPITAL (ASIA) LIMITED	Rep	Advising on futures contracts	2007-10-02	2010-10-20
	Rep	Advising on securities	2007-10-02	2010-10-20
	Rep	Asset management	2007-10-02	2010-10-20
PI INVESTMENT MANAGEMENT LIMITED	Rep	Advising on futures contracts	2004-06-21	2007-09-28
	Rep	Advising on securities	2004-06-21	2007-09-28
	Rep	Asset management	2004-06-21	2007-09-28