Personnel Hong Kong SFC License Details (ID 132482)

Personnel Hong Kong SFC License Details (ID 132482)

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
Avenue Asset Management Limited (HK)	Rep	Advising on securities	2020-11-02	2021-09-07
	Rep	Asset management	2020-11-02	2021-09-07
Avenue Family Office Limited	Rep	Advising on securities	2020-11-02	2021-09-07
	Rep	Asset management	2020-11-02	2021-09-07
	Rep	Dealing in securities	2020-11-02	2021-09-07
AVENUE INVESTMENT MANAGEMENT LIMITED	Rep	Advising on securities	2020-11-02	2021-09-07
	Rep	Asset management	2020-11-02	2021-09-07
	Rep	Dealing in securities	2020-11-02	2021-09-07
Funde Asset Management (Hong Kong) Company Limited	Rep	Asset management	2020-02-12	2020-10-24
	Rep	Advising on securities	2017-01-05	2020-10-24
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2014-08-20	2016-12-15
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2012-05-16	2014-08-04
SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED	Rep	Advising on securities	2012-05-16	2014-08-04
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2012-05-16	2013-07-08
CATHAY SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2011-10-03	2011-11-27