Personnel Hong Kong SFC License Details (ID 42484)

Personnel Hong Kong SFC License Details (ID 42484)

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
Mage Securities Limited	RO	Advising on securities	2018-09-04	2020-05-04
	RO	Dealing in securities	2018-09-04	2020-05-04
HEAD & SHOULDERS ASSET MANAGEMENT LIMITED	Rep	Asset management	2016-09-09	2020-05-04
Mage Securities Limited	Rep	Advising on securities	2016-09-09	2018-09-04
	Rep	Dealing in securities	2016-09-09	2018-09-04
CIS SECURITIES ASSET MANAGEMENT LIMITED	Rep	Asset management	2013-05-13	2016-08-01
	Rep	Advising on securities	2013-01-04	2016-08-01
OnePlatform Asset Management Limited	Rep	Asset management	2013-01-04	2014-03-13
GALAXY ASSET MANAGEMENT (H.K.) LIMITED	Rep	Advising on securities	2009-03-31	2012-08-20
	Rep	Asset management	2009-03-31	2012-08-20
	RO	Advising on securities	2007-09-21	2009-03-31
	RO	Asset management	2007-09-21	2009-03-31
APAC CAPITAL ADVISORS LIMITED	RO	Asset management	2005-10-21	2007-07-16
	Rep	Asset management	2005-01-24	2005-10-21
SIIC CAPITAL (HONG KONG) INVESTMENT MANAGEMENT COMPANY LIMITED	Rep	Advising on securities	2004-04-01	2005-01-11
	Rep	Asset management	2004-04-01	2005-01-11
ICEA CAPITAL LIMITED	Rep	Advising on corporate finance	2003-06-06	2004-01-07