Personnel SFC Licences and HKMA Registrations (ID 1867528)

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
uSmart Securities Limited	Rep	Advising on corporate finance	2026-07-15	-
	Rep	Dealing in securities	2026-07-15	-
Somerley Capital Limited	Rep	Advising on corporate finance	2019-08-14	2025-01-26
	Rep	Dealing in securities	2019-08-14	2025-01-26
SILVER NILE GLOBAL INVESTMENTS LIMITED	Rep	Dealing in securities	2019-05-08	2019-07-31
HEUNGKONG CAPITAL LIMITED	Rep	Advising on corporate finance	2018-06-29	2019-07-31
RHB CAPITAL HONG KONG LIMITED	Rep	Advising on corporate finance	2017-10-23	2018-06-28
	Rep	Dealing in securities	2017-10-23	2018-06-28
HOORAY CAPITAL LIMITED	Rep	Advising on corporate finance	2014-10-03	2017-10-07
HOORAY SECURITIES LIMITED	Rep	Dealing in securities	2014-10-03	2017-10-07
iVenture Investment Management Limited	Rep	Asset management	2012-11-23	2013-08-22
CAPITAL FOCUS ASSET MANAGEMENT LIMITED	Rep	Asset management	2012-03-21	2012-08-31

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.