Personnel Hong Kong SFC License Details (ID 133308)

Personnel Hong Kong SFC License Details (ID 133308)

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
PING AN SECURITIES (HONG KONG) COMPANY LIMITED	Rep	Dealing in securities	2022-05-23	-
Ping An Securities (Hong Kong) Asset Management Company Limited	RO	Advising on securities	2021-11-04	-
	RO	Asset management	2021-11-04	-
	Rep	Advising on securities	2021-09-10	2021-11-04
	Rep	Asset management	2021-09-10	2021-11-04
CMBC ASSET MANAGEMENT COMPANY LIMITED	RO	Advising on securities	2019-03-29	2021-08-13
	Rep	Advising on securities	2018-12-19	2019-03-29
	RO	Asset management	2018-11-22	2021-08-13
CMBC SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2018-04-17	2021-08-13
CMBC ASSET MANAGEMENT COMPANY LIMITED	Rep	Asset management	2018-04-12	2018-11-22
CMBC SECURITIES COMPANY LIMITED	Rep	Advising on securities	2018-04-12	2018-12-19
SPDB International Investment Management Limited	Rep	Advising on securities	2016-05-19	2018-03-29
	Rep	Asset management	2016-05-19	2018-03-29
ARK GROUP HOLDINGS (HONG KONG) LIMITED	Rep	Dealing in securities	2015-07-13	2016-05-13
	Rep	Advising on securities	2015-01-28	2016-05-13
	Rep	Asset management	2015-01-28	2016-05-13
OnePlatform Asset Management Limited	Rep	Advising on securities	2011-11-02	2013-09-26