Personnel Hong Kong SFC License Details (ID 73250)

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
VMS Securities Limited	Rep	Dealing in securities	2026-03-16	-
VMS Asset Management Limited	Rep	Advising on securities	2026-03-11	-
	Rep	Asset management	2026-03-11	-
Octiv Capital Limited	RO	Advising on securities	2024-11-01	2026-01-31
	RO	Asset management	2024-11-01	2026-01-31
BASE ASSET MANAGEMENT LTD	Rep	Advising on securities	2024-05-06	2024-10-31
	Rep	Asset management	2024-05-06	2024-10-31
VAN BERKOM GOLDEN DRAGON LIMITED	RO	Asset management	2023-07-25	2023-12-14
	Rep	Asset management	2023-07-14	2023-07-25
Magpie Securities Limited (HK)	RO	Asset management	2022-04-29	2022-06-30
	RO	Advising on securities	2021-10-20	2022-06-30
	RO	Dealing in securities	2021-10-20	2022-06-30
	Rep	Advising on securities	2021-09-03	2021-10-20
	Rep	Dealing in securities	2021-09-03	2021-10-20
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	RO	Advising on securities	2018-12-06	2021-06-25
	RO	Dealing in securities	2018-12-06	2021-06-25
Everbright Securities Investment Services (HK) Limited	RO	Advising on securities	2018-12-06	2021-06-25
	RO	Dealing in securities	2018-12-06	2021-06-25
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	Advising on securities	2018-10-11	2018-12-06
	Rep	Dealing in securities	2018-10-11	2018-12-06
Everbright Securities Investment Services (HK) Limited	Rep	Advising on securities	2018-10-11	2018-12-06
	Rep	Dealing in securities	2018-10-11	2018-12-06
KGI ASIA LIMITED	RO	Advising on securities	2018-01-17	2018-09-03
	RO	Dealing in securities	2018-01-17	2018-09-03
	Rep	Advising on securities	2017-10-03	2018-01-17
	Rep	Dealing in securities	2017-10-03	2018-01-17
	Rep	Advising on securities	2017-07-17	2017-10-02
	Rep	Dealing in securities	2017-07-17	2017-10-02
Crosby Securities Limited	RO	Advising on securities	2015-09-18	2017-06-30
	RO	Dealing in securities	2015-09-18	2017-06-30
	Rep	Advising on securities	2015-08-26	2015-09-18
	Rep	Dealing in securities	2015-08-26	2015-09-18
Guosen Securities (HK) Brokerage Company, Limited	Rep	Advising on securities	2014-01-24	2015-07-23
	Rep	Dealing in futures contracts	2014-01-24	2015-07-23
	Rep	Dealing in securities	2014-01-24	2015-07-23
CHINA EVERBRIGHT FOREX &AMP; FUTURES (HK) LIMITED	Rep	Dealing in futures contracts	2012-08-28	2013-12-27
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	Dealing in securities	2011-05-18	2013-12-27
MIZUHO SECURITIES ASIA LIMITED	Rep	Dealing in securities	2009-12-09	2011-02-28
	Rep	Advising on securities	2009-12-04	2011-02-28
RICHLAND CAPITAL MANAGEMENT LIMITED	Rep	Advising on securities	2009-10-02	2009-11-23
	Rep	Asset management	2009-10-02	2009-11-23
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2008-04-11	2009-04-30
Nomura Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2007-11-05	2009-04-30
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-11-05	2009-04-30
	Rep	Dealing in securities	2007-11-05	2009-04-30
CLSA FUTURES LIMITED	Rep	Dealing in futures contracts	2007-02-14	2007-10-03
CLSA LIMITED	Rep	Dealing in securities	2007-02-14	2007-10-03