Personnel Hong Kong SFC License Details (ID 120468)

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
SHANGGU ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2025-01-06	-
	Rep	Dealing in securities	2025-01-06	-
iFAST Global Markets (HK) Limited	Rep	Advising on securities	2023-04-06	2024-12-20
	Rep	Dealing in securities	2023-04-06	2024-12-20
Siegfried Asset Management Limited (HK)	Rep	Advising on securities	2019-09-12	2023-02-25
	Rep	Asset management	2019-09-12	2023-02-25
	Rep	Dealing in securities	2019-09-12	2023-02-25
Glory Sun Securities Limited	Rep	Advising on securities	2018-02-02	2019-05-31
	Rep	Asset management	2018-02-02	2019-05-31
	Rep	Dealing in securities	2018-02-02	2019-05-31
TARGET CAPITAL MANAGEMENT LIMITED (HK)	Rep	Asset management	2017-05-02	2017-09-27
	Rep	Advising on securities	2015-06-18	2017-09-27
	Rep	Dealing in securities	2015-06-18	2017-09-27
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2012-09-17	2013-08-15
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2012-09-17	2013-08-15
Nomura Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2009-01-15	2009-08-29
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-01-15	2009-08-29
	Rep	Dealing in securities	2009-01-08	2009-08-29
GENERALI INVESTMENTS ASIA LIMITED	Rep	Dealing in securities	2008-09-04	2008-11-28
	Rep	Advising on futures contracts	2008-04-23	2008-11-28
	Rep	Advising on securities	2008-04-23	2008-11-28
	Rep	Asset management	2008-04-23	2008-11-28
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2007-01-15	2008-02-22
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-01-15	2008-02-22