Personnel Hong Kong SFC License Details (ID 11800038)

Personnel Hong Kong SFC License Details (ID 11800038)

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
CMBC SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2021-05-20	2022-08-16
CMBC ASSET MANAGEMENT COMPANY LIMITED	Rep	Advising on securities	2021-05-04	2022-08-16
	Rep	Asset management	2021-05-04	2022-08-16
DL Family Office (HK) Limited	Rep	Asset management	2020-08-28	2021-03-29
	Rep	Advising on securities	2020-08-17	2021-03-29
DL SECURITIES (HK) LIMITED	Rep	Advising on corporate finance	2020-07-07	2020-07-27
	Rep	Advising on securities	2020-07-02	2020-07-27
Lego Asset Management Limited	Rep	Advising on securities	2020-02-20	2020-03-04
	Rep	Asset management	2020-02-20	2020-03-04
SHENWAN HONGYUAN ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2019-03-29	2020-02-07
	Rep	Asset management	2019-03-29	2020-02-07
Ark Securities (Hong Kong) Limited	Rep	Advising on securities	2019-01-14	2019-02-23
	Rep	Asset management	2019-01-14	2019-02-23
	Rep	Dealing in securities	2017-09-08	2019-02-23
PROVIDENT FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2017-09-08	2019-02-23