Personnel Hong Kong SFC License Details (ID 2227241)

Personnel Hong Kong SFC License Details (ID 2227241)

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
AMRITA CAPITAL LIMITED	RO	Advising on securities	2022-07-07	2025-09-19
	RO	Asset management	2022-07-07	2025-09-19
Sumo Asset Management Limited	Rep	Advising on securities	2021-09-20	2021-09-20
	Rep	Asset management	2021-09-20	2021-09-20
	RO	Advising on securities	2021-09-20	2022-05-17
	RO	Asset management	2021-09-20	2022-05-17
CITIC Securities International Global Markets Limited	Rep	Dealing in futures contracts	2019-09-12	2020-03-31
	Rep	Dealing in securities	2019-05-10	2020-03-31
CITIC Securities Asset Management (HK) Limited	RO	Dealing in securities	2018-03-22	2018-10-05
	RO	Advising on securities	2017-03-17	2020-03-31
	RO	Asset management	2017-03-17	2020-03-31
	Rep	Advising on securities	2016-10-03	2017-03-17
	Rep	Asset management	2016-10-03	2017-03-17
	Rep	Dealing in securities	2016-10-03	2018-03-22
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2016-10-03	2017-07-03
CITIC Securities Asset Management (HK) Limited	Rep	Advising on securities	2014-03-19	2016-04-29
	Rep	Asset management	2014-03-19	2016-04-29