Personnel Hong Kong SFC License Details (ID 1860685)

Personnel Hong Kong SFC License Details (ID 1860685)

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
EM Asset Management Limited	RO	Advising on securities	2023-03-17	-
	RO	Asset management	2023-03-17	-
	Rep	Advising on securities	2023-01-05	2023-03-17
	Rep	Asset management	2023-01-05	2023-03-17
Cheung On Securities Limited	RO	Dealing in securities	2020-12-21	2022-01-28
	RO	Advising on securities	2020-12-21	2022-10-19
	RO	Asset management	2020-12-21	2022-10-19
New Vision Asset Management Limited	Rep	Asset management	2019-12-23	2020-04-06
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2014-08-15	2018-08-06
	RO	Advising on securities	2014-08-15	2019-06-09
	RO	Dealing in securities	2014-08-15	2019-06-09
	Rep	Advising on securities	2014-06-04	2014-08-15
Goldstream Capital Management Limited	RO	Advising on securities	2012-03-02	2014-04-11
	RO	Asset management	2012-03-02	2014-04-11