Personnel Hong Kong SFC License Details (ID 129586)

Personnel Hong Kong SFC License Details (ID 129586)

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
ENVIRONMENTAL INVESTMENT SERVICES ASIA LIMITED	RO	Advising on securities	2022-09-27	-
	RO	Asset management	2022-09-27	-
Nan Guo International Securities Limited	RO	Dealing in securities	2020-09-11	2022-01-20
	Rep	Dealing in securities	2020-09-01	2020-09-11
Nan Guo International Asset Management Limited	RO	Advising on securities	2020-05-18	2022-07-31
	RO	Asset management	2020-05-18	2022-07-31
AUGUSTINE SECURITIES COMPANY LIMITED	RO	Dealing in securities	2018-08-13	2020-05-12
AUGUSTINE ASSET MANAGEMENT LIMITED	RO	Advising on securities	2018-01-22	2020-05-12
	RO	Asset management	2018-01-22	2020-05-12
Safari Asia Limited	RO	Asset management	2017-01-20	2017-11-07
Look's Securities Limited	RO	Dealing in securities	2016-11-09	2017-11-07
Safari Asia Limited	RO	Advising on securities	2016-11-09	2017-11-07
Look's Securities Limited	Rep	Dealing in securities	2016-11-08	2016-11-09
Safari Asia Limited	Rep	Advising on securities	2016-11-08	2016-11-09
CNI Global Assets Management Limited (HK)	Rep	Asset management	2015-08-19	2016-10-21
CNI Securities Group Limited	Rep	Advising on securities	2015-08-19	2016-10-21
	Rep	Dealing in securities	2014-05-21	2016-10-21
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2010-04-01	2011-05-19