Personnel Hong Kong SFC License Details (ID 11917)

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
Panorama United Asset Management Limited	RO	Advising on securities	2025-12-22	-
	RO	Asset management	2025-07-23	-
	Rep	Asset management	2025-06-13	2025-07-23
YONXI Securities Limited	RO	Advising on securities	2021-12-07	2022-03-08
	Rep	Dealing in securities	2021-12-07	2022-03-08
YONXI International Finance Holdings Limited	RO	Asset management	2020-05-25	2025-05-07
	Rep	Asset management	2020-04-14	2020-05-25
Entersys Asset Management Hong Kong Limited	RO	Advising on securities	2017-11-30	2020-03-31
	RO	Asset management	2017-11-30	2020-03-31
GRAND PARTNERS INVESTMENT CONSULTANTS LIMITED	RO	Advising on securities	2016-08-18	2017-11-26
GRAND PARTNERS ASSET MANAGEMENT LIMITED	RO	Asset management	2009-12-23	2017-11-26
WING FUNG FINTECH LIMITED	RO	Leveraged foreign exchange trading	2009-08-20	2009-12-22
WING FUNG FUTURES LIMITED	RO	Dealing in futures contracts	2009-08-20	2009-12-22
WING FUNG SECURITIES LIMITED	RO	Dealing in securities	2009-08-20	2009-12-22
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	RO	Advising on securities	2009-03-20	2009-06-12
	RO	Asset management	2009-03-20	2009-06-12
SOUTHWEST SECURITIES (HK) CAPITAL LIMITED	RO	Advising on corporate finance	2009-03-20	2009-06-12
	RO	Dealing in securities	2009-03-20	2009-06-12
	Rep	Dealing in securities	2009-01-05	2009-03-20
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2009-01-05	2009-06-12
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2007-06-04	2008-10-01
	RO	Leveraged foreign exchange trading	2007-04-16	2008-10-01
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2007-03-01	2008-10-01
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Leveraged foreign exchange trading	2007-03-01	2007-04-16
CINDA INTERNATIONAL INVESTMENT MANAGEMENT LIMITED	RO	Leveraged foreign exchange trading	2005-06-22	2006-07-14
CINDA INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2004-10-08	2006-07-14
CINDA INTERNATIONAL INVESTMENT MANAGEMENT LIMITED	Rep	Leveraged foreign exchange trading	2003-11-20	2005-06-22
CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED	RO	Advising on securities	2003-04-01	2003-07-11
	RO	Advising on corporate finance	2003-04-01	2003-07-18
	RO	Asset management	2003-04-01	2006-07-14
CINDA INTERNATIONAL CAPITAL LIMITED	RO	Advising on securities	2003-04-01	2003-07-11
	RO	Asset management	2003-04-01	2004-03-08
	RO	Advising on corporate finance	2003-04-01	2006-07-14
	RO	Dealing in securities	2003-04-01	2006-07-14
CINDA INTERNATIONAL SECURITIES LIMITED	RO	Advising on corporate finance	2003-04-01	2003-07-11
	RO	Advising on securities	2003-04-01	2003-07-11
	RO	Asset management	2003-04-01	2003-07-11
	RO	Providing automated trading services	2003-04-01	2004-03-18
	RO	Dealing in securities	2003-04-01	2006-07-14