Tsui, Ivan Kun Lam 徐觀林

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
YAOZHI ASSET MANAGEMENT INTERNATIONAL CO., LIMITED	RO	Advising on securities	2022-09-26	-
	RO	Asset management	2022-09-26	-
	Rep	Advising on securities	2022-09-20	2022-09-26
	Rep	Asset management	2022-09-20	2022-09-26
MODERN INNOVATIVE ASSET MANAGEMENT LIMITED	RO	Advising on securities	2021-01-28	2022-09-12
	RO	Asset management	2021-01-28	2022-09-12
	Rep	Advising on securities	2020-12-28	2021-01-28
	Rep	Asset management	2020-12-28	2021-01-28
Alpha Nova Capital Management Limited	RO	Advising on securities	2017-07-27	2020-09-30
	RO	Asset management	2017-07-27	2020-09-30
	Rep	Advising on securities	2017-06-13	2017-07-27
	Rep	Asset management	2017-06-13	2017-07-27
Qiao Group Limited	RO	Advising on securities	2015-03-31	2017-05-31
	RO	Asset management	2015-03-31	2017-05-31
Chinese Strategic Asset Management Limited	RO	Advising on securities	2014-04-01	2015-03-15
	RO	Asset management	2014-04-01	2015-03-15
	Rep	Advising on securities	2014-03-10	2014-04-01
	Rep	Asset management	2014-03-10	2014-04-01
CHINA GLORY SECURITIES COMPANY LIMITED	Rep	Dealing in futures contracts	2013-09-16	2014-02-28
	RO	Dealing in securities	2013-09-16	2014-02-28
ZMF Asset Management Limited	RO	Asset management	2013-09-16	2014-02-28
GLENWORTH CAPITAL LIMITED	RO	Advising on securities	2013-01-29	2013-02-01
	RO	Asset management	2013-01-29	2013-02-01
313 CAPITAL MANAGEMENT LIMITED 313	Rep	Advising on securities	2012-05-15	2012-09-21
	Rep	Asset management	2012-05-15	2012-09-21
SOUTH CHINA COMMODITIES LIMITED	Rep	Dealing in futures contracts	2012-05-15	2012-09-21
SOUTH CHINA SECURITIES LIMITED	Rep	Dealing in securities	2012-05-15	2012-09-21
Quam Securities Limited	Rep	Advising on securities	2011-12-30	2012-04-25
	Rep	Asset management	2011-12-30	2012-04-25
	Rep	Dealing in securities	2011-12-30	2012-04-25
	RO	Advising on securities	2011-04-19	2011-12-30
	RO	Asset management	2011-04-19	2011-12-30
	RO	Dealing in securities	2011-04-19	2011-12-30
	Rep	Advising on securities	2011-01-26	2011-04-19
	Rep	Asset management	2011-01-26	2011-04-19
	Rep	Dealing in securities	2011-01-26	2011-04-19
	Rep	Dealing in futures contracts	2011-01-26	2012-04-25
RHB FUTURES HONG KONG LIMITED	Rep	Dealing in futures contracts	2009-10-09	2011-01-17
RHB ASSET MANAGEMENT LIMITED	RO	Asset management	2009-06-26	2011-01-17
RHB SECURITIES HONG KONG LIMITED	RO	Advising on securities	2008-12-16	2011-01-17
	RO	Dealing in securities	2008-12-16	2011-01-17
	Rep	Advising on securities	2008-10-21	2008-12-16
	Rep	Dealing in securities	2008-10-21	2008-12-16
BNP PARIBAS DEALING SERVICES ASIA LIMITED	RO	Advising on securities	2008-03-27	2008-06-03
	RO	Asset management	2008-03-27	2008-06-03
	RO	Dealing in securities	2008-03-27	2008-06-03
	Rep	Advising on securities	2006-12-04	2008-03-27
	Rep	Asset management	2004-06-21	2008-03-27
	Rep	Dealing in securities	2004-06-21	2008-03-27

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.