Personnel Hong Kong SFC License Details (ID 65588)

Personnel Hong Kong SFC License Details (ID 65588)

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
Capstone Financial (HK) Limited	RO	Dealing in securities	2015-01-26	2020-05-07
	RO	Asset management	2015-01-26	2021-04-30
	RO	Advising on securities	2014-07-30	2021-04-30
HONG KONG ASSET MANAGEMENT LIMITED	RO	Advising on securities	2014-04-04	2014-06-13
	RO	Asset management	2014-04-04	2014-06-13
	RO	Dealing in securities	2011-12-21	2013-07-01
	RO	Advising on securities	2005-11-21	2014-03-01
	RO	Advising on corporate finance	-	2004-07-20
	RO	Advising on securities	-	2004-07-20
	RO	Asset management	-	2014-03-01