Personnel Hong Kong SFC License Details (ID 128920)

Personnel Hong Kong SFC License Details (ID 128920)

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
Joy Rich Asset Management Company Limited	RO	Asset management	2021-02-01	-
JOY RICH SECURITIES INVESTMENT LIMITED	RO	Advising on securities	2019-09-12	-
	Rep	Dealing in securities	2019-06-05	-
NINE RIVERS CAPITAL PARTNERS LIMITED	RO	Advising on securities	2018-02-27	2018-12-31
	RO	Asset management	2018-02-27	2018-12-31
	Rep	Asset management	2016-06-21	2018-02-27
	Rep	Dealing in securities	2015-10-20	2018-12-31
CMBC INTERNATIONAL FUTURES COMPANY LIMITED	Rep	Dealing in futures contracts	2010-11-16	2015-06-26
CMBC SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2010-11-16	2015-06-26
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2009-11-06	2010-11-06
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2009-11-06	2010-11-06
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2009-11-06	2010-11-06