Personnel Hong Kong SFC License Details (ID 73259)

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
Complus Asset Management Limited	RO	Advising on securities	2023-03-30	-
	RO	Dealing in securities	2023-03-30	-
	RO	Asset management	2022-12-09	-
	Rep	Asset management	2021-10-20	2022-12-09
Harmony Advisors Limited	RO	Advising on securities	2020-04-20	2021-09-28
	RO	Asset management	2020-04-20	2021-09-28
	RO	Dealing in securities	2020-04-20	2021-09-28
	Rep	Advising on securities	2020-03-24	2020-04-20
	Rep	Asset management	2020-03-24	2020-04-20
	Rep	Dealing in securities	2020-03-24	2020-04-20
CHINA RAILWAY &AMP; AVIATION SECURITIES LIMITED	RO	Advising on securities	2019-01-29	2020-02-29
	RO	Asset management	2019-01-29	2020-02-29
	RO	Dealing in securities	2019-01-29	2020-02-29
ROYAL MORGAN FUND MANAGEMENT CO. LIMITED	RO	Advising on securities	2018-02-05	2018-07-03
	RO	Asset management	2018-02-05	2018-07-03
	RO	Dealing in securities	2018-02-05	2018-07-03
	Rep	Advising on securities	2017-12-07	2018-02-05
	Rep	Asset management	2017-12-07	2018-02-05
	Rep	Dealing in securities	2017-12-07	2018-02-05
CHINA EVERBRIGHT FOREX &AMP; FUTURES (HK) LIMITED	Rep	Dealing in futures contracts	2012-09-25	2017-06-07
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	RO	Dealing in securities	2011-10-18	2017-06-07
	Rep	Dealing in securities	2011-06-09	2011-10-18
MIZUHO SECURITIES ASIA LIMITED	Rep	Advising on securities	2009-09-11	2011-03-01
	Rep	Dealing in securities	2009-08-10	2011-03-01
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2008-04-11	2009-04-30
Nomura Asia Investment (Hong Kong) Limited	Rep	Advising on futures contracts	2003-04-01	2004-11-24
	Rep	Asset management	2003-04-01	2004-11-24
	Rep	Dealing in futures contracts	2003-04-01	2009-04-30
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-11-24
	Rep	Advising on futures contracts	2003-04-01	2004-11-24
	Rep	Advising on securities	2003-04-01	2004-11-24
	Rep	Asset management	2003-04-01	2004-11-24
	Rep	Dealing in futures contracts	2003-04-01	2009-04-30
	Rep	Dealing in securities	2003-04-01	2009-04-30