Personnel Hong Kong SFC License Details (ID 51728)

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
Shenzhen Capital (Hong Kong) Asset Management Company Limited	RO	Asset management	2025-06-10	-
H&AMP;Y SECURITIES COMPANY LIMITED	RO	Advising on securities	2024-06-28	2024-11-30
	RO	Dealing in securities	2024-06-28	2024-11-30
Yuanta Securities (Hong Kong) Company Limited	Rep	Dealing in securities	2024-02-09	2024-06-09
	Rep	Advising on securities	2023-12-29	2024-06-09
	Rep	Asset management	2023-12-29	2024-06-09
Win Win Asset Management (HK) Limited	RO	Dealing in securities	2020-08-26	2023-06-14
	RO	Advising on securities	2019-10-30	2023-09-23
	RO	Asset management	2019-10-30	2023-09-23
Nan Guo International Asset Management Limited	RO	Advising on securities	2019-01-03	2019-10-26
	RO	Asset management	2019-01-03	2019-10-26
Nan Guo International Securities Limited	RO	Dealing in securities	2016-05-19	2019-10-26
Vantage New Generation Securities Limited	RO	Advising on securities	2015-05-11	2015-07-08
	RO	Dealing in securities	2015-05-11	2015-07-08
Realord Asia Pacific Securities Limited	RO	Dealing in securities	2014-11-26	2015-04-24
	Rep	Dealing in securities	2014-11-06	2014-11-26
SHUANGYING SECURITIES LIMITED	RO	Dealing in futures contracts	2011-01-05	2012-07-31
	RO	Dealing in securities	2011-01-05	2012-07-31
CHEONG LEE SECURITIES LIMITED	RO	Dealing in futures contracts	2010-06-23	2010-07-09
	RO	Advising on securities	2008-09-23	2010-07-09
	RO	Dealing in securities	2008-05-29	2010-07-09
	Rep	Dealing in securities	2008-04-18	2008-05-29
Beevest Securities Limited	RO	Dealing in securities	2007-02-01	2008-03-31
	Rep	Dealing in securities	2006-12-22	2007-02-01
	Rep	Dealing in futures contracts	2006-12-22	2008-03-31
	Rep	Dealing in securities	2004-11-30	2006-03-21
ASG BROKERAGE LIMITED	Rep	Dealing in securities	2004-02-09	2004-11-05
ASG FUTURES LIMITED	Rep	Dealing in futures contracts	2004-02-09	2004-06-25