Personnel SFC Licences and HKMA Registrations (ID 72334)

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
ACAMHK Limited	RO	Asset management	2023-06-23	-
GENNEX CAPITAL ADVISERS LIMITED	RO	Asset management	2019-04-03	2021-01-31
ASIAN CAPITAL LIMITED	RO	Advising on securities	2018-07-26	2019-03-05
	RO	Dealing in securities	2018-07-26	2019-03-05
Planetree Asset Management Limited (HK)	Rep	Asset management	2017-12-11	2018-02-27
Planetree Securities Limited	Rep	Dealing in securities	2017-12-11	2018-02-27
GLOBAL MASTERMIND SECURITIES LIMITED	RO	Advising on securities	2017-04-10	2017-06-18
	RO	Dealing in securities	2017-04-10	2017-06-18
GLOBAL MASTERMIND ASSET MANAGEMENT LIMITED	RO	Asset management	2017-02-21	2017-06-18
CCB INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Asset management	2012-10-29	2015-10-21
	RO	Dealing in securities	2012-09-06	2015-10-21
CCB INTERNATIONAL CAPITAL LIMITED	RO	Dealing in securities	2012-09-06	2015-10-21
CCB INTERNATIONAL SECURITIES LIMITED	RO	Advising on securities	2008-07-16	2015-10-21
	RO	Dealing in securities	2008-07-16	2015-10-21
	Rep	Advising on securities	2008-05-23	2008-07-16
	Rep	Dealing in securities	2008-05-23	2008-07-16
Neutral Financial Holding Company Limited	RO	Advising on securities	2007-02-28	2008-03-28
	RO	Dealing in securities	2007-02-28	2008-03-28
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2005-08-02	2008-04-19
PHILLIP SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2005-08-02	2008-04-19
	RO	Dealing in securities	2005-08-02	2008-04-19
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Advising on futures contracts	2003-04-01	2003-08-14
	Rep	Asset management	2003-04-01	2003-08-14
	Rep	Providing automated trading services	2003-04-01	2003-08-14
	Rep	Dealing in futures contracts	2003-04-01	2005-07-04
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	RO	Advising on corporate finance	2003-04-01	2003-08-14
	RO	Asset management	2003-04-01	2003-08-14
	RO	Providing automated trading services	2003-04-01	2003-08-14
	RO	Advising on securities	2003-04-01	2005-07-04
	RO	Dealing in securities	2003-04-01	2005-07-04
iBest Securities Company Limited	RO	Advising on corporate finance	2003-04-01	2003-08-14
	RO	Advising on securities	2003-04-01	2003-08-14
	RO	Asset management	2003-04-01	2003-08-14
	RO	Dealing in securities	2003-04-01	2005-07-04

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.