Personnel Hong Kong SFC License Details (ID 134078)

Personnel Hong Kong SFC License Details (ID 134078)

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
Pinnacle Investment Management Limited	RO	Advising on securities	2024-08-02	-
	RO	Dealing in securities	2024-08-02	-
	RO	Asset management	2020-12-14	-
Tongfang Securities Limited	Rep	Asset management	2016-03-10	2020-12-11
HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED	Rep	Advising on futures contracts	2015-06-18	2015-12-17
	Rep	Advising on securities	2015-06-18	2015-12-17
	Rep	Asset management	2015-06-18	2015-12-17
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2015-06-18	2015-12-17
	Rep	Advising on securities	2015-06-18	2015-12-17
	Rep	Asset management	2015-06-18	2015-12-17
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	Rep	Advising on securities	2015-06-18	2015-12-17
	Rep	Asset management	2015-06-18	2015-12-17
Caitong International Asset Management Co., Limited	Rep	Asset management	2014-10-08	2015-04-13
GUOSEN SECURITIES (HK) ASSET MANAGEMENT COMPANY LIMITED	Rep	Asset management	2011-11-28	2014-09-24