Personnel Hong Kong SFC License Details (ID 70933)

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
N Plus Capital Limited	RO	Advising on securities	2025-11-27	2026-07-01
	RO	Asset management	2025-11-27	2026-07-01
	Rep	Advising on securities	2025-10-17	2025-11-27
	Rep	Asset management	2025-10-17	2025-11-27
Taoli Asset Management Limited	RO	Advising on securities	2024-12-27	2025-08-31
	RO	Asset management	2024-12-27	2025-08-31
SUCCESS ADVANCE INVESTMENTS LIMITED	RO	Advising on securities	2022-10-06	2024-08-16
	RO	Asset management	2022-10-06	2024-08-16
YONXI Securities Limited	RO	Advising on securities	2022-04-28	2022-07-07
	RO	Dealing in securities	2022-04-28	2022-07-07
YONXI International Finance Holdings Limited	RO	Asset management	2021-11-09	2022-02-28
	Rep	Asset management	2021-08-17	2021-11-09
YONXI Securities Limited	Rep	Advising on securities	2021-08-17	2022-04-28
	Rep	Dealing in securities	2021-08-17	2022-04-28
MASON INVESTMENT MANAGEMENT LIMITED	Rep	Advising on securities	2021-02-24	2021-05-07
	Rep	Asset management	2021-02-24	2021-05-07
	Rep	Dealing in securities	2021-02-24	2021-05-07
Pearl Bridge Securities Limited	RO	Advising on securities	2020-09-28	2021-01-31
	RO	Dealing in securities	2020-09-28	2021-01-31
Pearl Bridge Asset Management Limited	RO	Advising on securities	2020-08-21	2021-01-31
	RO	Asset management	2020-08-21	2021-01-31
Pearl Bridge Securities Limited	Rep	Advising on securities	2020-08-10	2020-09-28
	Rep	Dealing in securities	2020-08-10	2020-09-28
Nobo Capital Management (Hong Kong) Limited	RO	Advising on securities	2019-02-25	2020-08-07
	RO	Asset management	2019-02-25	2020-08-07
	Rep	Advising on securities	2019-02-21	2019-02-25
	Rep	Asset management	2019-02-21	2019-02-25
Righteous Capital Limited	RO	Asset management	2018-04-12	2019-02-20
	RO	Advising on securities	2017-12-06	2019-02-20
	RO	Dealing in securities	2017-12-06	2019-02-20
SP Securities Limited	RO	Asset management	2017-06-30	2017-11-24
	RO	Advising on securities	2016-08-05	2017-11-24
	RO	Dealing in securities	2016-08-05	2017-11-24
	Rep	Advising on securities	2016-06-15	2016-08-05
	Rep	Dealing in securities	2016-06-15	2016-08-05
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2015-03-26	2016-05-04
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2014-11-11	2016-05-04
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2014-11-11	2016-05-04
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2014-11-11	2016-05-04
BOCI SECURITIES LIMITED	Rep	Leveraged foreign exchange trading	2013-08-02	2014-10-09
	Rep	Dealing in futures contracts	2008-01-08	2014-10-09
	Rep	Dealing in securities	2008-01-08	2014-10-09
Mason Securities Limited	Rep	Advising on corporate finance	-	2005-02-22
	Rep	Advising on securities	-	2005-02-22
	Rep	Asset management	-	2005-02-22
	Rep	Providing automated trading services	-	2005-02-22
	Rep	Dealing in securities	-	2008-01-05
ZHONG ZHENG INTERNATIONAL FUTURES LIMITED	Rep	Advising on futures contracts	-	2005-02-22
	Rep	Asset management	-	2005-02-22
	Rep	Dealing in futures contracts	-	2008-01-05