Personnel Hong Kong SFC License Details (ID 73282)

Personnel Hong Kong SFC License Details (ID 73282)

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
Basis Asset Management Limited	RO	Advising on securities	2021-01-29	-
	RO	Asset management	2021-01-29	-
GF Asset Management (Hong Kong) Limited	RO	Advising on securities	2020-01-22	2020-12-07
	RO	Asset management	2020-01-22	2020-12-07
GF Securities (Hong Kong) Brokerage Limited	Rep	Dealing in securities	2017-07-28	2020-12-07
GF Asset Management (Hong Kong) Limited	Rep	Advising on securities	2013-01-24	2020-01-22
	Rep	Asset management	2012-12-20	2020-01-22
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED	Rep	Asset management	2009-06-11	2012-10-31
AD Capital Management (Hong Kong) Limited	Rep	Advising on securities	2006-06-15	2009-05-31
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-08-09
	Rep	Asset management	2003-04-01	2003-08-09
	Rep	Advising on securities	2003-04-01	2006-04-27