Personnel Hong Kong SFC License Details (ID 115175)

Personnel Hong Kong SFC License Details (ID 115175)

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
Sprout Asset Management (Asia) Limited	RO	Advising on securities	2026-06-17	-
	RO	Asset management	2026-06-17	-
	RO	Dealing in securities	2026-06-17	-
CHINA WORLD INVESTMENTS LIMITED	RO	Asset management	2025-08-29	2026-01-30
NEW ASIA FERRELL ASSET MANAGEMENT LIMITED	RO	Advising on securities	2022-05-10	2025-07-21
	RO	Asset management	2022-05-10	2025-07-21
	Rep	Advising on securities	2022-04-14	2022-05-10
	Rep	Asset management	2022-04-14	2022-05-10
CS Wealth Asset Management Limited	RO	Advising on securities	2020-08-04	2022-03-17
	RO	Asset management	2020-08-04	2022-03-17
	Rep	Advising on securities	2017-08-21	2020-08-04
	Rep	Asset management	2017-08-21	2020-08-04
Nomura Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2008-12-10	2008-12-10
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2008-12-10	2008-12-10
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-10-10	2008-12-10
	Rep	Dealing in securities	2008-10-10	2008-12-10
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2005-01-10	2008-09-29
	Rep	Dealing in securities	2005-01-10	2008-09-29