Personnel SFC Licences and HKMA Registrations (ID 15196384)

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
TFI Asset Management Limited	RO	Advising on futures contracts	2025-11-05	-
	RO	Advising on securities	2025-11-05	-
	RO	Asset management	2023-03-06	-
	Rep	Asset management	2020-09-18	2023-03-06
	Rep	Advising on futures contracts	2020-09-18	2025-11-05
	Rep	Advising on securities	2020-09-18	2025-11-05
HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED	Rep	Advising on futures contracts	2018-05-16	2020-08-21
	Rep	Advising on securities	2018-05-16	2020-08-21
	Rep	Asset management	2018-05-16	2020-08-21
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2018-05-16	2020-08-21
	Rep	Advising on securities	2018-05-16	2020-08-21
	Rep	Asset management	2018-05-16	2020-08-21
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	Rep	Advising on securities	2018-05-16	2020-08-21
	Rep	Asset management	2018-05-16	2020-08-21
	Rep	Dealing in securities	2018-05-16	2020-08-21

HKMA registrations

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

Current registrations only

No HKMA registrations in the collected records.