Personnel SFC Licences and HKMA Registrations (ID 75020)

Key Data Licences & registrations 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
Original Group Securities Limited	RO	Dealing in securities	2021-05-25	2024-08-15
PSG Digital Asia Limited	RO	Advising on securities	2021-05-25	-
	RO	Asset management	2021-05-25	-
Original Group Securities Limited	Rep	Dealing in securities	2021-05-20	2021-05-25
PSG Digital Asia Limited	Rep	Advising on securities	2021-05-20	2021-05-25
	Rep	Asset management	2021-05-20	2021-05-25
AJ Securities Limited	RO	Dealing in securities	2019-04-02	2021-05-07
AJ Asset Management Limited	RO	Advising on securities	2018-08-28	2021-05-07
	RO	Asset management	2018-08-28	2021-05-07
AJ Securities Limited	Rep	Dealing in securities	2018-06-11	2019-04-02
CAITONG INTERNATIONAL SECURITIES CO., LIMITED	Rep	Dealing in securities	2017-03-06	2018-05-31
Caitong International Asset Management Co., Limited	RO	Advising on securities	2013-05-20	2018-05-31
	RO	Asset management	2013-05-20	2018-05-31
CAITONG INTERNATIONAL SECURITIES CO., LIMITED	RO	Dealing in securities	2013-04-22	2017-03-06
	Rep	Dealing in securities	2013-04-16	2013-04-22
Oreana Financial Services Limited	RO	Advising on securities	2011-10-03	2013-04-12
	RO	Asset management	2011-10-03	2013-04-12
	RO	Dealing in securities	2011-10-03	2013-04-12
	Rep	Advising on securities	2011-09-05	2011-10-03
	Rep	Asset management	2011-09-05	2011-10-03
	Rep	Dealing in securities	2011-09-05	2011-10-03
Gen2 Partners Limited	RO	Asset management	2010-01-28	2011-03-31
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2009-09-08	2010-01-01
SHENWAN HONGYUAN ASSET MANAGEMENT (ASIA) LIMITED	RO	Advising on securities	2009-04-15	2010-01-01
	RO	Asset management	2009-04-15	2010-01-01
	Rep	Advising on securities	2009-01-14	2009-04-15
	Rep	Asset management	2009-01-14	2009-04-15
Bright Fund Management Limited	RO	Advising on securities	2005-07-27	2008-08-14
	RO	Asset management	2005-07-27	2008-08-14
	RO	Dealing in securities	2005-07-27	2008-08-14
	Rep	Advising on corporate finance	2003-04-01	2004-01-19
	Rep	Asset management	2003-04-01	2004-01-19
	Rep	Advising on securities	2003-04-01	2005-07-27

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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