Personnel SFC Licences and HKMA Registrations (ID 131457)

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
DELPHINIUM ASSETS MANAGEMENT LIMITED	RO	Advising on securities	2016-10-24	2025-03-05
	RO	Asset management	2016-10-24	2025-03-05
HARMONY ASSET MANAGEMENT LIMITED	RO	Asset management	2015-09-09	2022-02-11
	RO	Advising on corporate finance	2015-01-12	2022-02-11
	RO	Advising on securities	2015-01-12	2022-02-11
	Rep	Advising on corporate finance	2011-09-06	2015-01-12
	Rep	Advising on securities	2011-09-06	2015-01-12
	Rep	Asset management	2011-09-06	2015-09-09

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

HKMA records could not be loaded. Please try again later.