Personnel SFC Licences and HKMA Registrations (ID 72021)

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
Lucky Guosheng Securities Limited	RO	Dealing in securities	2023-12-01	-
	RO	Advising on securities	2022-07-15	-
	Rep	Dealing in securities	2021-02-22	2023-12-01
	RO	Asset management	2020-09-23	-
	RO	Advising on securities	2020-09-23	2021-03-23
Thoth Investment Management Limited	RO	Asset management	2016-11-22	2020-09-14
W. Falcon Asset Management (Asia) Limited	RO	Asset management	2014-07-17	2016-11-12
CAPITAL FOCUS ASSET MANAGEMENT LIMITED	RO	Asset management	2011-02-28	2013-11-13
	Rep	Asset management	2010-10-07	2011-02-28
MONEY CONCEPTS (ASIA) LIMITED	RO	Asset management	2007-06-12	2010-07-21
	RO	Advising on securities	2005-12-09	2010-07-21
	Rep	Asset management	2004-09-20	2005-12-07
	Rep	Advising on securities	2004-09-20	2005-12-09
	RO	Advising on securities	2003-09-17	2004-09-20
	RO	Asset management	2003-09-17	2004-09-20

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.