Personnel Hong Kong SFC License Details (ID 12111538)

Personnel Hong Kong SFC License Details (ID 12111538)

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
3W Fund Management Limited	Rep	Asset management	2021-01-18	-
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Dealing in futures contracts	2020-10-05	2020-12-31
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Dealing in securities	2020-10-05	2020-12-31
Raffles Assets Management (HK) Co. Limited	Rep	Advising on securities	2019-04-10	2020-09-25
	Rep	Asset management	2019-04-10	2020-09-25
	Rep	Dealing in securities	2019-03-19	2019-06-14
CAPITAL GLOBAL MANAGEMENT LIMITED	Rep	Dealing in securities	2017-10-18	2019-02-22