Personnel SFC Licences and HKMA Registrations (ID 65927)

Key Data Licences & registrations 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
Zhonghao International Futures Co., Limited	Rep	Dealing in futures contracts	2025-09-05	2026-01-07
Zhonghao International Investment Consulting Co., Limited	Rep	Advising on futures contracts	2025-09-05	2026-01-07
IMPERIAL CAPITAL LIMITED (HK)	RO	Asset management	2022-05-27	2023-01-31
HONOR CAPITAL (HK) LIMITED	RO	Advising on securities	2020-04-07	2021-03-31
	RO	Asset management	2020-04-07	2021-03-31
	Rep	Advising on securities	2020-03-02	2020-04-07
	Rep	Asset management	2020-03-02	2020-04-07
KINGS SECURITIES LIMITED	RO	Advising on securities	2019-01-16	2019-09-30
	RO	Asset management	2019-01-16	2019-09-30
	RO	Dealing in securities	2019-01-16	2019-09-30
CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED	RO	Advising on securities	2017-07-27	2017-10-31
	RO	Asset management	2017-07-27	2017-10-31
	RO	Dealing in securities	2017-07-27	2017-10-31
	Rep	Advising on futures contracts	2017-05-31	2017-07-24
	Rep	Dealing in futures contracts	2017-05-31	2017-07-24
	Rep	Advising on securities	2017-05-31	2017-07-27
	Rep	Asset management	2017-05-31	2017-07-27
	Rep	Dealing in securities	2017-05-31	2017-07-27
AIF Securities Limited	RO	Dealing in securities	2016-12-05	2017-03-30
Amber Hill Asset Management Limited	RO	Advising on securities	2016-12-05	2017-03-30
	RO	Asset management	2016-12-05	2017-03-30
Azure Lion International Asset Management Company Limited	RO	Asset management	2016-04-11	2016-10-19
Azure Lion International Securities Company Limited	RO	Advising on securities	2016-02-18	2016-10-19
	RO	Dealing in securities	2016-02-18	2016-10-19
Zhonghao International Futures Co., Limited	RO	Asset management	2016-02-18	2016-04-29
	Rep	Dealing in futures contracts	2016-02-18	2016-10-19
Zhonghao International Investment Consulting Co., Limited	Rep	Advising on futures contracts	2016-02-18	2016-10-19
Zhonghao International Futures Co., Limited	Rep	Asset management	2015-10-27	2016-02-18
Great Wall Pan Asia Asset Management Limited	RO	Dealing in securities	2015-04-22	2015-07-15
	RO	Advising on securities	2014-05-13	2015-07-15
	RO	Asset management	2014-05-13	2015-07-15
GLENWORTH CAPITAL LIMITED	Rep	Advising on securities	2013-10-22	2013-11-30
	Rep	Asset management	2013-10-22	2013-11-30
ABCI ASSET MANAGEMENT LIMITED	RO	Asset management	2013-02-18	2013-07-18
	Rep	Asset management	2012-12-18	2013-02-18
Arta Global Futures Limited	RO	Dealing in futures contracts	2010-09-01	2012-07-01
Oshidori Securities Limited	RO	Dealing in securities	2010-09-01	2012-07-01
MASON INVESTMENT MANAGEMENT LIMITED	RO	Advising on securities	2010-02-23	2012-07-01
	RO	Asset management	2010-02-23	2012-07-01
TOTAL SECURITIES (HK) LIMITED	RO	Dealing in futures contracts	2009-06-15	2009-07-01
	RO	Dealing in securities	2009-06-15	2009-07-01
QI YUAN ASSET MANAGEMENT (H.K.) LIMITED	RO	Advising on securities	2008-07-18	2009-03-05
	RO	Asset management	2008-07-18	2009-03-05
	Rep	Advising on securities	2008-07-14	2008-07-18
	Rep	Asset management	2008-07-14	2008-07-18
MASON INVESTMENT MANAGEMENT LIMITED	RO	Advising on securities	2007-06-11	2008-07-01
	RO	Asset management	2007-06-11	2008-07-01
OKASAN INTERNATIONAL (ASIA) LIMITED	Rep	Dealing in securities	2004-02-02	2007-02-14

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.