Personnel Hong Kong SFC License Details (ID 2120494)

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
Hazel Securities Limited	RO	Advising on securities	2026-07-22	-
	RO	Dealing in securities	2026-07-22	-
	RO	Asset management	2026-06-03	-
	Rep	Advising on securities	2026-01-15	2026-07-22
	Rep	Dealing in securities	2026-01-15	2026-07-22
HARTFORD CAPITAL LIMITED	RO	Asset management	2023-11-22	2025-09-30
	Rep	Asset management	2023-10-03	2023-11-22
SHENG YUAN ASSET MANAGEMENT LIMITED	RO	Advising on securities	2021-08-18	2023-06-07
	RO	Asset management	2021-08-18	2023-06-07
SHENG YUAN SECURITIES LIMITED	RO	Dealing in securities	2021-08-18	2023-06-07
AUGUSTINE ASSET MANAGEMENT LIMITED	RO	Advising on securities	2020-08-12	2021-08-09
	RO	Asset management	2020-08-12	2021-08-09
AUGUSTINE SECURITIES COMPANY LIMITED	RO	Dealing in securities	2020-08-12	2021-08-09
AUGUSTINE ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2020-04-28	2020-08-12
	Rep	Asset management	2020-04-28	2020-08-12
AUGUSTINE SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2020-04-28	2020-08-12
MASON INVESTMENT MANAGEMENT LIMITED	Rep	Dealing in securities	2019-06-03	2019-11-15
	Rep	Advising on securities	2018-09-17	2019-11-15
	Rep	Asset management	2018-09-17	2019-11-15
SINOMAX SECURITIES LIMITED	Rep	Advising on securities	2016-11-07	2018-09-04
	Rep	Asset management	2016-11-07	2018-09-04
	Rep	Dealing in securities	2016-11-07	2018-09-04
SINOPAC ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2016-04-28	2016-06-01
	Rep	Asset management	2016-04-28	2016-06-01
	Rep	Dealing in securities	2016-04-28	2016-06-01
Quam Securities Limited	Rep	Asset management	2014-08-08	2016-02-04
	Rep	Dealing in futures contracts	2013-08-22	2016-02-04
	Rep	Dealing in securities	2013-08-22	2016-02-04