Personnel Hong Kong SFC License Details (ID 72987)

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
Sagacious Tree Asset Management Limited	RO	Advising on securities	2025-12-03	-
	RO	Asset management	2025-12-03	-
FORTIS, SHERIFFS &AMP; BROWNS ASIA CO. LIMITED	RO	Advising on securities	2025-03-05	2025-04-14
	RO	Asset management	2025-03-05	2025-04-14
	RO	Dealing in securities	2025-03-05	2025-04-14
HK KEYSTONE CAPITAL LIMITED	RO	Advising on securities	2023-05-11	2024-05-22
	RO	Asset management	2023-05-11	2024-05-22
	Rep	Advising on securities	2023-04-28	2023-05-11
	Rep	Asset management	2023-04-28	2023-05-11
Magpie Securities Limited (HK)	RO	Advising on securities	2021-01-18	2022-12-23
	RO	Asset management	2021-01-18	2022-12-23
	RO	Dealing in futures contracts	2021-01-18	2022-12-23
	RO	Dealing in securities	2021-01-18	2022-12-23
	Rep	Advising on securities	2021-01-15	2021-01-18
	Rep	Asset management	2021-01-15	2021-01-18
	Rep	Dealing in futures contracts	2021-01-15	2021-01-18
	Rep	Dealing in securities	2021-01-15	2021-01-18
Aden Financial Group Limited	RO	Advising on securities	2020-10-22	2021-01-14
	RO	Asset management	2020-10-22	2021-01-14
	RO	Dealing in futures contracts	2020-08-17	2021-01-14
	RO	Dealing in securities	2020-08-17	2021-01-14
	Rep	Dealing in futures contracts	2020-06-29	2020-08-17
	Rep	Dealing in securities	2020-06-29	2020-08-17
Magpie Securities Limited (HK)	RO	Dealing in futures contracts	2019-06-21	2020-05-31
	RO	Advising on securities	2018-05-30	2020-05-31
	RO	Asset management	2018-05-30	2020-05-31
	RO	Dealing in securities	2018-05-30	2020-05-31
	Rep	Dealing in securities	2018-05-02	2018-05-30
Conrad Investment Services Limited	RO	Dealing in futures contracts	2018-01-30	2018-04-30
	RO	Dealing in securities	2017-05-18	2018-04-30
SORRENTO SECURITIES LIMITED	RO	Dealing in securities	2016-07-13	2017-03-24
Oshidori Securities Limited	RO	Advising on securities	2016-03-02	2016-06-30
	RO	Dealing in securities	2016-03-02	2016-06-30
	Rep	Advising on securities	2016-02-23	2016-03-02
	Rep	Dealing in securities	2016-02-23	2016-03-02
	Rep	Asset management	2016-02-23	2016-06-30
PARTNERS CAPITAL SECURITIES LIMITED	RO	Dealing in securities	2015-04-10	2016-02-01
Partners Asset Management (HK) Limited	Rep	Asset management	2014-09-22	2016-02-01
	Rep	Advising on securities	2014-07-10	2016-02-01
PARTNERS CAPITAL SECURITIES LIMITED	Rep	Dealing in securities	2014-07-10	2015-04-10
CHIEF SECURITIES LIMITED	Rep	Advising on securities	2013-06-13	2014-06-12
CHIEF COMMODITIES LIMITED	Rep	Dealing in futures contracts	2010-06-17	2014-06-12
CHIEF SECURITIES LIMITED	Rep	Dealing in securities	2010-06-17	2014-06-12
PHILLIP COMMODITIES (HK) LIMITED	Rep	Advising on futures contracts	2010-03-04	2010-06-06
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2009-12-02	2010-06-06
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2009-08-11	2010-06-06
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2009-08-11	2010-06-06