Personnel Hong Kong SFC License Details (ID 1957431)

Personnel Hong Kong SFC License Details (ID 1957431)

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
CAIDAO CAPITAL LIMITED	Rep	Advising on securities	2018-12-27	2021-10-14
	Rep	Asset management	2018-12-27	2021-10-14
Carret Private Capital Limited	Rep	Advising on securities	2018-10-30	2018-12-05
	Rep	Dealing in securities	2018-10-30	2018-12-05
	RO	Advising on securities	2016-11-03	2018-10-30
	RO	Dealing in securities	2016-11-03	2018-10-30
	Rep	Asset management	2016-06-01	2018-12-05
KGI ASIA LIMITED	Rep	Advising on securities	2013-04-09	2014-08-18
	Rep	Dealing in securities	2013-04-09	2014-08-18
E FUND MANAGEMENT (HONG KONG) CO., LIMITED	Rep	Advising on securities	2012-09-21	2012-12-10
	Rep	Asset management	2012-09-21	2012-12-10