Personnel Hong Kong SFC License Details (ID 64540)

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
Brightus Management Limited	RO	Advising on securities	2022-07-15	-
	RO	Asset management	2022-07-15	-
Springwell Capital Limited	RO	Asset management	2021-01-26	2022-03-18
Cedarlake Global International Limited	RO	Advising on corporate finance	2019-09-24	2020-09-01
AccFin Corporate Finance Limited	RO	Advising on corporate finance	2018-07-30	2019-08-31
China Enterprise Capital Company Limited	RO	Advising on corporate finance	2017-12-15	2018-06-30
China Enterprise Securities Company Limited	RO	Asset management	2017-03-08	2017-10-23
	Rep	Asset management	2017-01-09	2017-03-08
W. Falcon Asset Management (Asia) Limited	RO	Asset management	2015-04-08	2016-11-23
	Rep	Asset management	2015-02-09	2015-04-08
Ethk Funds Limited	RO	Asset management	2012-03-08	2015-01-01
VC CAPITAL LIMITED	RO	Advising on corporate finance	2011-09-12	2015-01-01
	Rep	Advising on corporate finance	2011-08-18	2011-09-12
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	Rep	Dealing in securities	2010-10-08	2010-12-28
	RO	Advising on corporate finance	2010-06-30	2010-12-28
GUOSEN SECURITIES (HK) ASSET MANAGEMENT COMPANY LIMITED	RO	Advising on securities	2010-06-29	2011-01-05
	RO	Asset management	2010-06-29	2011-01-05
Alpha Nova Capital Management Limited	RO	Advising on corporate finance	2008-12-16	2009-12-31
	RO	Advising on securities	2008-12-16	2009-12-31
	RO	Asset management	2008-12-16	2009-12-31
	Rep	Advising on securities	2007-05-15	2008-12-16
	Rep	Advising on corporate finance	2007-04-19	2008-12-16
	Rep	Asset management	2007-04-19	2008-12-16
KINGSWAY SW ASSET MANAGEMENT LIMITED (VG)	Rep	Advising on corporate finance	2004-08-06	2007-03-23
	Rep	Asset management	2004-08-06	2007-03-23
	Rep	Advising on corporate finance	2003-06-12	2004-01-31
	Rep	Advising on securities	2003-06-12	2004-01-31
	Rep	Asset management	2003-06-12	2004-01-31