Personnel Hong Kong SFC License Details (ID 2372740)

Personnel Hong Kong SFC License Details (ID 2372740)

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
RiverCircle Investments Limited	Rep	Advising on securities	2024-03-27	2025-01-10
	Rep	Asset management	2024-03-27	2025-01-10
VMS Asset Management Limited	Rep	Advising on securities	2022-07-05	2024-02-03
	Rep	Asset management	2022-07-05	2024-02-03
VMS Securities Limited	Rep	Advising on corporate finance	2021-05-28	2022-07-04
	Rep	Dealing in securities	2021-05-28	2024-02-03
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on corporate finance	2020-12-07	2021-04-14
	Rep	Dealing in securities	2020-12-07	2021-04-14
	Rep	Advising on corporate finance	2019-05-15	2019-11-11
	Rep	Dealing in securities	2019-05-15	2019-11-11
Fosun International Securities Limited	Rep	Advising on corporate finance	2018-08-13	2019-04-26
	Rep	Dealing in securities	2018-06-25	2019-04-26
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2015-12-07	2018-06-07
ORIENTAL PATRON SECURITIES LIMITED	Rep	Dealing in securities	2015-01-19	2015-11-29