Personnel Hong Kong SFC License Details (ID 22051)

Personnel Hong Kong SFC License Details (ID 22051)

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
CEPA ALLIANCE SECURITIES LIMITED	RO	Advising on securities	2024-05-29	-
	RO	Dealing in securities	2024-05-29	-
CEPAALLIANCE ASSET MANAGEMENT LIMITED	RO	Asset management	2024-05-29	-
SBI E2-Capital Securities Limited	RO	Advising on securities	2023-01-10	-
	RO	Dealing in securities	2023-01-10	-
BUSINESS SECURITIES LIMITED	RO	Advising on securities	2020-06-18	2022-06-30
	RO	Dealing in securities	2020-06-18	2022-06-30
SBI China Capital Asset Management Limited	Rep	Asset management	2015-03-20	2018-10-23
SBI China Capital Financial Services Limited	RO	Advising on securities	2008-09-19	2019-04-30
	RO	Asset management	2008-09-19	2019-04-30
SBI China Capital Commodities Limited	RO	Asset management	2008-03-11	2013-02-28
SBI China Capital Securities Limited	RO	Asset management	2008-03-11	2011-09-30
SBI China Capital Commodities Limited	RO	Advising on futures contracts	2008-02-25	2013-02-28
	RO	Dealing in futures contracts	2008-02-25	2013-02-28
SBI China Capital Financial Services Limited	RO	Dealing in securities	2008-02-25	2019-04-30
SBI China Capital Securities Limited	RO	Advising on securities	2008-02-25	2011-09-30
	RO	Dealing in securities	2008-02-25	2011-09-30