Personnel Hong Kong SFC License Details (ID 70999)

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
Alaya Capital Limited	Rep	Advising on securities	2024-07-19	2025-06-10
	Rep	Asset management	2024-07-19	2025-06-10
GREATER CHINA SECURITIES LIMITED	Rep	Dealing in securities	2024-07-19	2025-06-10
GLENWORTH CAPITAL LIMITED	RO	Advising on securities	2023-10-03	2024-05-31
	RO	Asset management	2023-10-03	2024-05-31
	Rep	Advising on securities	2023-09-26	2023-10-03
	Rep	Asset management	2023-09-26	2023-10-03
Alpha Nova Capital Management Limited	RO	Advising on securities	2023-05-08	2023-09-15
	RO	Asset management	2023-05-08	2023-09-15
Dynasty Alliance Investment Management Limited	RO	Advising on securities	2021-11-17	2022-06-22
	RO	Asset management	2021-11-17	2022-06-22
	Rep	Advising on securities	2021-08-03	2021-11-17
	Rep	Asset management	2021-08-03	2021-11-17
Innovest Securities Investment Limited	Rep	Dealing in securities	2021-08-03	2022-06-22
Alpha Nova Capital Management Limited	RO	Advising on securities	2020-10-23	2021-07-15
	RO	Asset management	2020-10-23	2021-07-15
CHUNG LEE SECURITIES COMPANY LIMITED	RO	Dealing in securities	2019-11-19	2020-02-01
ZhongHua Finance Asset Management Co., Limited	RO	Advising on securities	2019-11-19	2020-01-31
	RO	Asset management	2019-11-19	2020-01-31
ARTA GLOBAL MARKETS LIMITED	Rep	Dealing in securities	2019-05-30	2019-09-01
CHUNG LEE SECURITIES COMPANY LIMITED	RO	Dealing in securities	2018-12-10	2019-04-25
ZhongHua Finance Asset Management Co., Limited	RO	Advising on securities	2018-08-08	2019-04-25
VISION CAPITAL INTERNATIONAL HOLDINGS LIMITED (HK)	RO	Dealing in securities	2016-04-26	2017-12-15
BOCI SECURITIES LIMITED	Rep	Dealing in futures contracts	2007-01-26	2013-03-06
	Rep	Dealing in securities	2007-01-26	2013-03-06
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Leveraged foreign exchange trading	2004-04-23	2006-05-13
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Advising on futures contracts	-	2003-08-26
	Rep	Asset management	-	2003-08-26
	Rep	Providing automated trading services	-	2003-08-26
	Rep	Dealing in futures contracts	-	2006-05-13
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on corporate finance	-	2003-08-26
	Rep	Advising on securities	-	2003-08-26
	Rep	Asset management	-	2003-08-26
	Rep	Providing automated trading services	-	2003-08-26
	Rep	Dealing in securities	-	2006-05-13