Personnel Hong Kong SFC License Details (ID 2188275)

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
PFP Capital Limited	RO	Advising on futures contracts	2025-08-08	-
	RO	Advising on securities	2025-08-08	-
	RO	Asset management	2025-08-08	-
	Rep	Advising on futures contracts	2025-08-06	2025-08-08
	Rep	Advising on securities	2025-06-04	2025-08-08
	Rep	Asset management	2025-06-04	2025-08-08
FCS Capital Limited	RO	Advising on securities	2024-06-17	2025-03-14
	RO	Asset management	2024-06-17	2025-03-14
	Rep	Advising on securities	2024-04-18	2024-06-17
	Rep	Asset management	2024-04-18	2024-06-17
Micro Connect (H.K.) Investment Management Limited	Rep	Advising on securities	2023-07-21	2024-04-08
	Rep	Asset management	2023-07-21	2024-04-08
GREEN HARMONY CAPITAL LIMITED	RO	Advising on securities	2023-04-13	2023-07-07
	RO	Asset management	2022-05-31	2023-07-07
GREEN HARMONY SECURITIES LIMITED	RO	Advising on securities	2022-05-31	2023-07-07
	RO	Dealing in securities	2022-05-31	2023-07-07
GREEN HARMONY CAPITAL LIMITED	Rep	Asset management	2022-01-17	2022-05-31
GREEN HARMONY SECURITIES LIMITED	Rep	Advising on securities	2021-12-24	2022-05-31
	Rep	Dealing in securities	2021-12-24	2022-05-31
ORIENT ASSET MANAGEMENT (HONG KONG) LIMITED	Rep	Asset management	2017-07-05	2021-07-06
ORIENT FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2017-07-05	2021-12-06
ORIENT SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2017-07-05	2021-12-06
	Rep	Dealing in securities	2017-07-05	2021-12-06
BOCOM International Securities Limited	Rep	Dealing in futures contracts	2016-03-16	2017-06-06
	Rep	Dealing in securities	2016-03-16	2017-06-06
UBP ASSET MANAGEMENT ASIA LIMITED	Rep	Advising on securities	2015-07-10	2016-01-04
	Rep	Asset management	2015-07-10	2016-01-04
	Rep	Dealing in securities	2015-07-10	2016-01-04
ORIENT ASSET MANAGEMENT (HONG KONG) LIMITED	Rep	Asset management	2015-03-27	2015-07-09
ORIENT FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2014-01-02	2015-07-09
ORIENT SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2014-01-02	2015-07-09