Personnel Hong Kong SFC License Details (ID 2434411)

Personnel Hong Kong SFC License Details (ID 2434411)

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
WRise Prestige Asset Management Limited	Rep	Advising on securities	2023-09-15	2024-05-08
	Rep	Asset management	2023-09-15	2024-05-08
WRise Prestige Securities Limited	Rep	Dealing in securities	2023-09-15	2024-05-08
Victoria Harbour Securities International Limited	Rep	Advising on securities	2022-04-01	2023-01-31
	Rep	Asset management	2022-04-01	2023-01-31
	Rep	Dealing in securities	2022-04-01	2023-01-31
One Heritage Capital Management Limited	Rep	Advising on securities	2020-04-15	2021-09-30
	Rep	Asset management	2020-04-15	2021-09-30
TOPAZ CAPITAL MANAGEMENT LIMITED	Rep	Asset management	2019-07-02	2020-03-31
Topaz Financial Group Limited	Rep	Advising on securities	2019-06-19	2020-03-31
	Rep	Dealing in securities	2019-06-19	2020-03-31
China Enterprise Capital Company Limited	Rep	Advising on corporate finance	2019-02-04	2019-03-29
China Enterprise Securities Company Limited	Rep	Asset management	2017-03-15	2019-02-04
	Rep	Advising on securities	2017-03-15	2019-03-29
	Rep	Dealing in securities	2017-03-15	2019-03-29
Ark Securities (Hong Kong) Limited	Rep	Dealing in securities	2016-11-03	2017-01-01
FAIRWIN BROKING LIMITED	Rep	Dealing in securities	2016-08-30	2016-10-18
GEO Securities Limited	Rep	Dealing in securities	2015-06-12	2015-12-02