Personnel Hong Kong SFC License Details (ID 119477)

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
THE CORE SECURITIES COMPANY LIMITED	RO	Advising on securities	2024-04-09	2026-05-14
	RO	Asset management	2024-04-09	2026-05-14
	RO	Dealing in securities	2024-04-09	2026-05-14
	Rep	Advising on securities	2024-02-19	2024-04-09
	Rep	Asset management	2024-02-19	2024-04-09
	Rep	Dealing in securities	2024-02-19	2024-04-09
CAITONG INTERNATIONAL SECURITIES CO., LIMITED	RO	Advising on securities	2023-11-08	2023-11-28
	RO	Dealing in securities	2023-11-08	2023-11-28
	Rep	Advising on securities	2023-09-21	2023-11-08
	Rep	Dealing in securities	2023-09-21	2023-11-08
Senchi Morgan Capital Market Limited	RO	Dealing in securities	2018-03-23	2023-06-30
Senchi Morgan Assets Management Limited	RO	Advising on securities	2017-02-01	2023-06-30
	RO	Asset management	2017-02-01	2023-06-30
QMIS Asset Management Limited	RO	Advising on securities	2015-08-27	2015-12-28
	RO	Asset management	2015-08-27	2015-12-28
	Rep	Advising on securities	2015-07-14	2015-08-27
	Rep	Asset management	2015-07-14	2015-08-27
QMIS Securities Limited	Rep	Dealing in securities	2015-07-14	2015-12-28
DaoKou Asset Management Limited	RO	Advising on securities	2014-06-05	2015-06-30
	RO	Asset management	2014-06-05	2015-06-30
Phoenician Limited (HK)	RO	Asset management	2013-03-22	2014-01-17
MF Global Hong Kong Limited	Rep	Advising on futures contracts	2009-02-20	2011-09-14
	Rep	Advising on securities	2009-02-20	2011-09-14
	Rep	Dealing in futures contracts	2008-08-25	2011-09-14
	Rep	Dealing in securities	2008-08-25	2011-09-14
CINDA INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2006-10-27	2008-08-04
CINDA INTERNATIONAL SECURITIES LIMITED	Rep	Dealing in securities	2006-10-27	2008-08-04