Personnel Hong Kong SFC License Details (ID 120048)

Personnel Hong Kong SFC License Details (ID 120048)

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
UCAP Securities (HK) Limited	Rep	Advising on securities	2022-11-08	2023-08-06
	Rep	Asset management	2022-11-08	2023-08-06
	Rep	Dealing in securities	2022-11-08	2023-08-06
CACHET ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2022-09-05	2022-10-28
	Rep	Asset management	2022-09-05	2022-10-28
	Rep	Dealing in securities	2022-09-05	2022-10-28
GUOTAI JUNAN ASSETS (ASIA) LIMITED	Rep	Asset management	2021-10-20	2022-01-16
FIL Investment Management (Hong Kong) Limited	Rep	Advising on securities	2011-04-27	2011-08-06
	Rep	Asset management	2011-04-27	2011-08-06
	Rep	Dealing in securities	2011-04-27	2011-08-06
ETRADE SECURITIES (HONG KONG) LIMITED	Rep	Leveraged foreign exchange trading	2007-01-02	2010-11-01
	Rep	Advising on securities	2006-11-09	2010-11-01
	Rep	Dealing in securities	2006-11-09	2010-11-01