Personnel Hong Kong SFC License Details (ID 1916641)

Personnel Hong Kong SFC License Details (ID 1916641)

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
TFI Asset Management Limited	RO	Advising on futures contracts	2020-06-09	-
	RO	Advising on securities	2019-11-27	-
	RO	Asset management	2019-11-27	-
TFI Securities and Futures Limited	RO	Dealing in securities	2019-08-26	-
	Rep	Dealing in securities	2019-06-05	2019-08-26
JINGDONG SECURITIES LIMITED	Rep	Advising on securities	2019-05-09	2019-05-10
	Rep	Asset management	2019-05-09	2019-05-10
	Rep	Dealing in securities	2019-05-09	2019-05-10
Changchun Securities Limited	RO	Advising on securities	2018-06-11	2019-04-30
	RO	Asset management	2018-06-11	2019-04-30
	RO	Dealing in securities	2018-06-11	2019-04-30
Foresee Global Asset Management (HK) Limited	RO	Asset management	2017-08-10	2018-03-29
	Rep	Asset management	2016-07-27	2017-08-10
CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Asset management	2014-12-30	2015-12-17
Guosen Securities (HK) Brokerage Company, Limited	Rep	Dealing in futures contracts	2012-06-26	2014-12-19
	Rep	Dealing in securities	2012-06-26	2014-12-19