Personnel Hong Kong SFC License Details (ID 126302)

Personnel Hong Kong SFC License Details (ID 126302)

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
Kudos Summit Asset Management Limited	Rep	Advising on securities	2024-02-23	2025-05-31
	Rep	Asset management	2024-02-23	2025-05-31
STI Asset Management Limited	Rep	Advising on securities	2018-03-20	2022-03-31
	Rep	Asset management	2018-03-20	2022-03-31
	Rep	Dealing in securities	2018-03-20	2022-03-31
VMS Securities Limited	Rep	Advising on corporate finance	2013-08-15	2015-05-31
	Rep	Advising on securities	2013-08-15	2015-05-31
	Rep	Asset management	2013-08-15	2015-05-31
SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED	Rep	Advising on corporate finance	2012-02-06	2013-04-15
	Rep	Advising on securities	2012-02-06	2013-04-15
	Rep	Dealing in securities	2012-02-06	2013-04-15
	Rep	Advising on corporate finance	2010-07-07	2010-08-28
	Rep	Advising on securities	2010-07-07	2010-08-28
	Rep	Dealing in securities	2010-07-07	2010-08-28
YU MING INVESTMENT MANAGEMENT LIMITED	Rep	Advising on corporate finance	2008-09-12	2010-04-30
	Rep	Advising on securities	2008-09-12	2010-04-30
	Rep	Asset management	2008-09-12	2010-04-30
	Rep	Dealing in securities	2008-09-12	2010-04-30