Personnel Hong Kong SFC License Details (ID 63033)

Personnel Hong Kong SFC License Details (ID 63033)

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
GALAXY ASSET MANAGEMENT (H.K.) LIMITED	Rep	Advising on futures contracts	2015-07-28	2023-11-28
	Rep	Advising on securities	2015-07-28	2023-11-28
	Rep	Asset management	2015-07-28	2023-11-28
	Rep	Advising on securities	2010-02-03	2011-09-01
	Rep	Asset management	2010-02-03	2011-09-01
Odysseus Capital Asia Limited	RO	Advising on corporate finance	2009-10-29	2014-07-29
DBS ASIA CAPITAL LIMITED	Rep	Advising on corporate finance	2005-10-07	2006-05-26
	Rep	Advising on securities	2005-10-07	2006-05-26
	Rep	Dealing in securities	2005-10-07	2006-05-26
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	Rep	Asset management	-	2003-12-31
	Rep	Advising on securities	-	2004-07-30
	Rep	Advising on corporate finance	-	2005-09-27
	Rep	Dealing in securities	-	2005-09-27