Personnel Hong Kong SFC License Details (ID 35628)

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
Asia Alpha Systems Limited	RO	Asset management	2026-02-20	-
	Rep	Asset management	2025-12-29	2026-02-20
Uluwatu Limited	RO	Asset management	2022-04-26	2025-08-01
YONGGANG INTERNATIONAL CAPITAL INVESTMENT LIMITED	RO	Advising on securities	2021-04-12	2022-03-31
	RO	Asset management	2021-04-12	2022-03-31
	Rep	Advising on securities	2021-03-04	2021-04-12
	Rep	Asset management	2021-03-04	2021-04-12
Apeiron Capital Limited	RO	Advising on securities	2020-02-20	2021-01-31
	RO	Asset management	2020-02-20	2021-01-31
	Rep	Advising on securities	2020-01-21	2020-02-20
	Rep	Asset management	2020-01-21	2020-02-20
China Alpha Fund Management (HK) Limited	RO	Advising on securities	2014-08-27	2019-12-31
	RO	Asset management	2014-08-27	2019-12-31
	Rep	Advising on securities	2014-07-29	2014-08-27
	Rep	Asset management	2014-07-29	2014-08-27
CHINA SHENGHAI INVESTMENT MANAGEMENT LIMITED	RO	Dealing in securities	2009-09-18	2014-03-19
CITIC Securities Asset Management (HK) Limited	RO	Advising on securities	2008-08-01	2014-06-28
	RO	Asset management	2008-08-01	2014-06-28
CHINA SHENGHAI INVESTMENT MANAGEMENT LIMITED	RO	Advising on securities	2007-03-21	2014-03-19
	RO	Asset management	2007-03-21	2014-03-19
	Rep	Advising on securities	2007-03-01	2007-03-21
SATTVA INVESTMENT ADVISORS LIMITED	RO	Advising on futures contracts	2004-04-22	2007-01-31
	RO	Advising on securities	2004-04-22	2007-01-31
	Rep	Advising on futures contracts	2004-02-13	2004-04-22
	Rep	Advising on securities	2004-02-13	2004-04-22
UFJ INVESTMENTS ASIA LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-10-02
	Rep	Advising on futures contracts	2003-04-01	2003-10-02
	Rep	Advising on securities	2003-04-01	2003-10-02
	Rep	Asset management	2003-04-01	2003-10-02