Personnel Hong Kong SFC License Details (ID 2117945)

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
BOCI ASIA LIMITED	Rep	Dealing in securities	2025-08-14	2026-01-21
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2025-08-14	2026-01-21
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2021-01-12	2026-01-21
Soochow Securities International Asset Management Limited	RO	Advising on securities	2019-07-09	2020-06-14
	RO	Asset management	2019-07-09	2020-06-14
	Rep	Advising on securities	2019-05-27	2019-07-09
	Rep	Asset management	2019-05-27	2019-07-09
China Securities (International) Asset Management Company Limited	Rep	Advising on securities	2017-04-26	2019-05-01
	Rep	Asset management	2017-04-26	2019-05-01
HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED	Rep	Advising on futures contracts	2016-06-07	2017-03-19
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2016-06-07	2017-03-19
HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED	Rep	Advising on securities	2015-06-05	2017-03-19
	Rep	Asset management	2015-06-05	2017-03-19
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2015-06-05	2017-03-19
	Rep	Asset management	2015-06-05	2017-03-19
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	Rep	Advising on securities	2015-06-05	2017-03-19
	Rep	Asset management	2015-06-05	2017-03-19
	Rep	Dealing in securities	2015-06-05	2017-03-19
HANG SENG INVESTMENT MANAGEMENT LIMITED	Rep	Advising on securities	2015-03-20	2015-04-26
	Rep	Asset management	2015-03-20	2015-04-26
	Rep	Dealing in securities	2015-03-20	2015-04-26
SDIC SECURITIES ASSET MANAGEMENT (HONG KONG) LIMITED	Rep	Advising on securities	2013-08-16	2014-08-23
	Rep	Asset management	2013-08-16	2014-08-23