Personnel Hong Kong SFC License Details (ID 51646)

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
Hope Securities Limited (HK)	RO	Advising on futures contracts	2024-10-31	-
	RO	Advising on securities	2024-10-31	-
	RO	Asset management	2024-10-31	-
	RO	Dealing in futures contracts	2024-10-31	-
	RO	Dealing in securities	2024-10-31	-
	Rep	Advising on securities	2024-10-28	2024-10-31
	Rep	Asset management	2024-10-28	2024-10-31
Fenghua Asset Management Limited	RO	Advising on securities	2022-04-25	2024-06-27
	RO	Asset management	2022-04-25	2024-06-27
Pantheon Securities Limited	RO	Dealing in securities	2021-07-06	2024-05-31
VISION CAPITAL INTERNATIONAL HOLDINGS LIMITED (HK)	RO	Advising on securities	2020-08-04	2021-05-14
	RO	Dealing in securities	2020-08-04	2021-05-14
	Rep	Advising on securities	2020-07-16	2020-08-04
	Rep	Dealing in securities	2020-07-16	2020-08-04
313 CAPITAL MANAGEMENT LIMITED 313	Rep	Advising on securities	2020-06-30	2020-06-30
EXCELLENT TIDE SECURITIES LIMITED	Rep	Dealing in securities	2020-06-30	2020-06-30
South China Futures Investment Limited	Rep	Dealing in futures contracts	2020-06-30	2020-06-30
Atta Capital Limited	Rep	Advising on securities	2019-01-07	2020-01-11
	Rep	Asset management	2019-01-07	2020-01-11
Atta Securities Limited	RO	Dealing in futures contracts	2019-01-07	2020-01-11
	RO	Dealing in securities	2019-01-07	2020-01-11
GF FUTURES (HONG KONG) CO., LIMITED	Rep	Dealing in futures contracts	2017-08-10	2018-10-31
GF Securities (Hong Kong) Brokerage Limited	Rep	Dealing in securities	2017-08-10	2018-10-31
RHB FUTURES HONG KONG LIMITED	Rep	Dealing in futures contracts	2012-11-21	2017-07-31
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2012-11-21	2017-07-31
CHINA EVERBRIGHT FOREX &AMP; FUTURES (HK) LIMITED	Rep	Dealing in futures contracts	2012-07-04	2012-11-20
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	Dealing in securities	2010-09-06	2012-11-20
AMS CAPITAL LIMITED (d2012-07-13)	Rep	Advising on corporate finance	2008-04-21	2010-07-01
	Rep	Advising on securities	2008-04-21	2010-07-01
	Rep	Asset management	2008-04-21	2010-07-01