Personnel Hong Kong SFC License Details (ID 115585)

Personnel Hong Kong SFC License Details (ID 115585)

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
AYRES CAPITAL MANAGEMENT ASIA LIMITED	RO	Asset management	2015-08-05	2018-02-28
ZHONGCAI ASSET MANAGEMENT LIMITED	RO	Advising on securities	2013-08-13	2015-01-26
	RO	Asset management	2013-08-13	2015-01-26
	RO	Dealing in securities	2013-08-13	2015-01-26
Crosby Securities Limited	RO	Advising on securities	2013-03-06	2013-04-15
	RO	Dealing in securities	2013-03-06	2013-04-15
Conning Asia Pacific Limited	RO	Advising on securities	2012-02-24	2012-08-14
	RO	Asset management	2012-02-24	2012-08-14
	RO	Dealing in securities	2012-02-24	2012-08-14
RAB CAPITAL (ASIA) LIMITED	Rep	Advising on futures contracts	2008-08-25	2010-06-30
	Rep	Asset management	2008-08-25	2010-06-30
	Rep	Dealing in securities	2008-08-25	2010-06-30
	Rep	Advising on securities	2008-07-07	2010-06-30
Citigroup Global Markets Asia Limited	Rep	Advising on securities	2006-05-24	2008-01-17
PEAK CAPITAL LIMITED (b2004-03-30)	RO	Advising on securities	2005-09-30	2006-04-20
	RO	Asset management	2005-09-30	2006-04-20