Personnel Hong Kong SFC License Details (ID 125570)

Personnel Hong Kong SFC License Details (ID 125570)

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
GLOBAL WEST SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2022-05-31	-
	RO	Asset management	2022-05-31	-
	RO	Dealing in securities	2022-05-31	-
Ocean Cedar Asset Management Company Limited	RO	Advising on securities	2020-11-30	2022-03-31
	RO	Asset management	2020-11-30	2022-03-31
Red South Investment Management Limited	RO	Advising on securities	2019-10-23	2020-11-27
	RO	Asset management	2019-10-23	2020-11-27
SDHG International Securities Limited	RO	Dealing in securities	2019-08-19	2019-09-23
	Rep	Dealing in securities	2019-08-01	2019-08-19
Kirin Asset Management Limited	Rep	Asset management	2017-10-31	2019-07-22
Kirin Securities Limited	Rep	Advising on securities	2017-10-31	2019-07-22
	RO	Dealing in securities	2017-10-31	2019-07-22
SINO-RICH SECURITIES &AMP; FUTURES LIMITED	Rep	Dealing in securities	2016-02-01	2017-07-31
GEO Securities Limited	Rep	Dealing in securities	2013-05-22	2015-12-21
Brilliant Norton Securities Company Limited	Rep	Advising on securities	2012-06-11	2013-02-28
	Rep	Dealing in securities	2012-06-11	2013-02-28
Ark Securities (Hong Kong) Limited	Rep	Dealing in securities	2008-06-03	2008-11-04