Personnel Hong Kong SFC License Details (ID 40702)

Personnel Hong Kong SFC License Details (ID 40702)

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
Spruce Technology HK Limited	RO	Advising on securities	2025-07-08	-
	RO	Asset management	2025-07-08	-
P.B. Global Asset Management Limited	RO	Advising on securities	2018-05-02	2025-05-05
	RO	Asset management	2018-05-02	2025-05-05
iTrade Securities Investment Limited	RO	Dealing in securities	2016-12-28	2018-04-30
CIS SECURITIES ASSET MANAGEMENT LIMITED	RO	Asset management	2013-04-23	2016-12-10
	Rep	Asset management	2013-01-30	2013-04-23
OnePlatform Asset Management Limited	Rep	Asset management	2010-06-22	2014-03-13
CIS SECURITIES ASSET MANAGEMENT LIMITED	RO	Advising on securities	2008-12-24	2016-12-10
	RO	Dealing in futures contracts	2008-12-24	2016-12-10
	RO	Dealing in securities	2007-12-07	2016-12-10
Alpha Financial Group Limited	RO	Dealing in securities	2006-08-07	2007-09-30
MIB FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-01-19	2006-04-29
MIB SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2004-01-19	2006-04-29
CHINA EVERBRIGHT FOREX &AMP; FUTURES (HK) LIMITED	Rep	Dealing in futures contracts	2003-09-05	2004-01-12
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	Dealing in securities	2003-09-05	2004-01-12