Personnel Hong Kong SFC License Details (ID 16011)

Personnel Hong Kong SFC License Details (ID 16011)

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
Azurewing Limited (HK)	RO	Advising on securities	2022-01-04	2023-11-30
Trinity Futures Limited	RO	Advising on futures contracts	2022-01-04	2023-11-30
TRINITY SECURITIES CO. LIMITED	RO	Advising on securities	2022-01-04	2023-11-30
Azurewing Limited (HK)	RO	Asset management	2021-09-17	2023-11-30
Trinity Futures Limited	RO	Dealing in futures contracts	2021-09-17	2023-11-30
TRINITY SECURITIES CO. LIMITED	RO	Dealing in securities	2021-09-17	2023-11-30
BERICH BROKERAGE LIMITED	RO	Dealing in securities	2018-04-26	2021-06-30
BERICH FUTURES (H.K.) COMPANY LIMITED	RO	Dealing in futures contracts	2018-04-26	2021-06-30
GUO BANG (HK) ASSET MANAGEMENT LIMITED	RO	Asset management	2018-01-10	2021-06-30
Planetree Asset Management Limited (HK)	RO	Asset management	2016-11-16	2017-10-31
	Rep	Asset management	2013-06-07	2016-11-16
FTFT International Securities and Futures Limited	RO	Dealing in futures contracts	2010-08-23	2011-09-26
	RO	Dealing in securities	2010-08-23	2011-10-18
Planetree Futures Limited	RO	Dealing in futures contracts	2005-05-25	2017-10-31
Planetree Securities Limited	RO	Dealing in securities	2005-05-25	2017-10-31
Planetree Futures Limited	Rep	Dealing in futures contracts	2005-03-22	2005-05-25
Planetree Securities Limited	Rep	Dealing in securities	2005-03-22	2005-05-25
Planetree Futures Limited	RO	Dealing in futures contracts	-	2004-11-26
Planetree Securities Limited	RO	Dealing in securities	-	2004-11-26