Personnel Hong Kong SFC License Details (ID 67824)

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
ZH SECURITIES LIMITED	RO	Advising on securities	2025-07-08	-
	RO	Asset management	2025-07-08	-
	RO	Dealing in securities	2025-07-08	-
VGROWTH SECURITIES INTERNATIONAL FINANCIAL GROUP LIMITED	RO	Dealing in securities	2024-02-14	2025-05-06
	RO	Advising on securities	2022-12-23	2025-05-06
	RO	Asset management	2022-12-23	2025-05-06
Kaisa Asset Management Limited	RO	Advising on securities	2020-11-05	2022-01-16
	RO	Asset management	2020-11-05	2022-01-16
	Rep	Advising on securities	2020-09-04	2020-11-05
	Rep	Asset management	2020-09-04	2020-11-05
King Sun Securities Limited	RO	Advising on securities	2019-03-27	2020-01-01
	RO	Asset management	2019-03-27	2020-01-01
	Rep	Advising on securities	2019-01-10	2019-03-27
	Rep	Asset management	2019-01-10	2019-03-27
Changjiang Asset Management (HK) Limited	RO	Advising on securities	2017-02-22	2018-07-20
	RO	Asset management	2017-02-22	2018-07-20
	Rep	Advising on securities	2017-01-03	2017-02-22
	Rep	Asset management	2017-01-03	2017-02-22
313 CAPITAL MANAGEMENT LIMITED 313	RO	Advising on securities	2016-04-20	2016-06-30
	RO	Asset management	2016-04-20	2016-06-30
CHINA RISE SECURITIES ASSET MANAGEMENT COMPANY LIMITED	RO	Dealing in securities	2014-07-14	2016-01-16
	RO	Advising on securities	2014-02-14	2016-01-16
	RO	Asset management	2014-02-14	2016-01-16
China Angel Fund Management (HK) Company Limited	RO	Advising on securities	2011-10-24	2014-02-12
	RO	Asset management	2011-10-24	2014-02-12
GUOTAI JUNAN ASSETS (ASIA) LIMITED	RO	Dealing in securities	2009-09-23	2011-03-08
GUOTAI JUNAN FUND MANAGEMENT LIMITED	RO	Asset management	2008-11-26	2011-03-08
GUOTAI JUNAN ASSETS (ASIA) LIMITED	RO	Advising on securities	2004-11-29	2011-03-08
	RO	Advising on securities	2003-04-01	2004-03-30
	RO	Asset management	2003-04-01	2011-03-08
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-02-25
	Rep	Asset management	2003-04-01	2004-02-25
	Rep	Dealing in futures contracts	2003-04-01	2011-03-08
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	RO	Advising on corporate finance	2003-04-01	2004-03-30
	RO	Advising on securities	2003-04-01	2004-03-30
	RO	Asset management	2003-04-01	2004-03-30
	RO	Dealing in securities	2003-04-01	2007-03-21