Personnel Hong Kong SFC License Details (ID 73317)

Personnel Hong Kong SFC License Details (ID 73317)

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
QUANTUM JADE INVESTMENT LIMITED	RO	Advising on securities	2025-10-22	-
	RO	Asset management	2025-10-22	-
	RO	Dealing in securities	2025-10-22	-
Sino Suisse Capital (Hong Kong) Limited	Rep	Advising on securities	2023-08-30	2025-09-30
	Rep	Asset management	2023-08-30	2025-09-30
	Rep	Dealing in securities	2023-08-30	2025-09-30
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	RO	Dealing in securities	2009-01-07	2012-01-17
	Rep	Dealing in securities	2008-09-17	2009-01-07
AVANTA INVESTMENT MANAGEMENT LIMITED	Rep	Advising on securities	2007-04-18	2008-03-31
	Rep	Asset management	2007-04-18	2008-03-31
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	2003-04-01	2004-10-12
	Rep	Advising on securities	2003-04-01	2004-10-12
	Rep	Asset management	2003-04-01	2004-10-12
	Rep	Dealing in securities	2003-04-01	2006-01-06
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-10-12
	Rep	Asset management	2003-04-01	2004-10-12
	Rep	Dealing in futures contracts	2003-04-01	2006-01-06