Personnel Hong Kong SFC License Details (ID 40799)

Personnel Hong Kong SFC License Details (ID 40799)

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
Minerva Asset Global Investment Capital Limited	Rep	Asset management	2016-06-01	2023-02-08
Minerva Holding Financial Securities Limited	Rep	Dealing in securities	2016-06-01	2023-02-08
oOo Securities (HK) Group Limited	Rep	Asset management	2014-06-13	2016-04-28
	Rep	Dealing in securities	2014-06-13	2016-04-28
CNI Securities Group Limited	Rep	Dealing in futures contracts	2013-12-17	2014-05-19
	Rep	Dealing in securities	2013-12-17	2014-05-19
BOCI SECURITIES LIMITED	Rep	Advising on securities	2012-09-28	2013-03-05
	Rep	Dealing in securities	2012-09-28	2013-03-05
GUOYUAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-04-28	2011-03-05
GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED	Rep	Dealing in securities	2009-04-02	2011-03-05
SARASIN RABO INVESTMENT MANAGEMENT LIMITED	Rep	Advising on securities	2008-07-02	2008-11-18
	Rep	Dealing in securities	2008-07-02	2008-11-18
KINGSTON SECURITIES LIMITED	Rep	Dealing in securities	2008-03-19	2008-06-13