Personnel Hong Kong SFC License Details (ID 2298412)

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
PURPLE LEGEND (HK) LIMITED	RO	Advising on securities	2024-06-28	-
	RO	Asset management	2024-06-28	-
	RO	Dealing in securities	2024-06-28	-
Pearl International Securities Limited	RO	Advising on securities	2023-07-21	2024-06-14
	RO	Asset management	2023-07-21	2024-06-14
	RO	Dealing in securities	2023-07-21	2024-06-14
	Rep	Advising on securities	2023-07-14	2023-07-21
	Rep	Asset management	2023-07-14	2023-07-21
	Rep	Dealing in securities	2023-07-14	2023-07-21
Apollo Asset Management Limited (HK)	RO	Advising on securities	2022-09-28	2023-03-10
	RO	Asset management	2022-09-28	2023-03-10
	Rep	Advising on securities	2022-08-08	2022-09-28
	Rep	Asset management	2022-08-08	2022-09-28
QMIS Securities Limited	Rep	Dealing in securities	2021-11-10	2022-05-03
QMIS Asset Management Limited	RO	Advising on securities	2020-01-16	2022-05-03
	RO	Asset management	2020-01-16	2022-05-03
	Rep	Advising on securities	2019-11-25	2020-01-16
	Rep	Asset management	2019-11-25	2020-01-16
DATANG FINANCIAL HOLDING CO., LIMITED	RO	Advising on securities	2019-03-04	2019-11-04
	RO	Asset management	2019-03-04	2019-11-04
CENTRAL WEALTH ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2018-09-12	2019-02-14
	Rep	Asset management	2018-09-12	2019-02-14
CENTRAL WEALTH FUTURES LIMITED	Rep	Dealing in futures contracts	2017-06-09	2018-08-13
CENTRAL WEALTH SECURITIES INVESTMENT LIMITED	Rep	Dealing in securities	2017-06-09	2018-08-13
CMBC INTERNATIONAL FUTURES COMPANY LIMITED	Rep	Dealing in futures contracts	2016-11-04	2017-06-01
CMBC SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2016-11-04	2017-06-01
BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2014-07-24	2016-10-12
BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2014-07-24	2016-10-12