Personnel Hong Kong SFC License Details (ID 73219)

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
SMARTMAX ASSET MANAGEMENT LIMITED	RO	Advising on securities	2026-02-06	-
	RO	Asset management	2026-02-06	-
Hong Kong Main Fund Securities Limited	RO	Advising on securities	2025-01-20	2026-01-03
	RO	Asset management	2025-01-20	2026-01-03
Trendman Capital Limited	RO	Advising on securities	2023-10-27	2024-06-13
	RO	Asset management	2023-10-27	2024-06-13
CHINA ZHONG HENG FINANCE GROUP LIMITED	RO	Advising on securities	2021-03-26	2023-05-07
	RO	Asset management	2021-03-26	2023-05-07
	RO	Dealing in securities	2021-03-26	2023-05-07
PLUTUS ASSET MANAGEMENT LIMITED (GBEN)	RO	Advising on securities	2020-12-10	2021-03-25
	RO	Asset management	2020-12-10	2021-03-25
Plutus Securities Limited	RO	Dealing in securities	2020-03-23	2021-03-25
PLUTUS ASSET MANAGEMENT LIMITED (GBEN)	Rep	Advising on securities	2019-10-30	2020-12-10
	Rep	Asset management	2019-10-30	2020-12-10
Plutus Securities Limited	Rep	Dealing in securities	2019-07-31	2020-03-23
BS SECURITIES LIMITED (HK)	RO	Dealing in securities	2019-06-18	2019-07-08
China Jianxin Financial Services Limited	RO	Dealing in securities	2017-01-12	2018-05-10
	Rep	Dealing in securities	2016-10-03	2017-01-12
KGI ASIA LIMITED	Rep	Dealing in securities	2016-09-14	2016-09-22
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2016-09-14	2016-09-22
CHINA EVERBRIGHT FOREX &AMP; FUTURES (HK) LIMITED	Rep	Leveraged foreign exchange trading	2012-05-14	2016-09-08
	Rep	Dealing in futures contracts	2011-06-01	2016-09-08
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	Dealing in securities	2011-05-20	2016-09-08
HING WONG SECURITIES LIMITED	Rep	Dealing in securities	2009-08-11	2011-04-01
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2009-02-11	2009-07-15
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2009-01-23	2009-07-15
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2008-03-31	2008-10-31