Personnel Hong Kong SFC License Details (ID 75907)

Personnel Hong Kong SFC License Details (ID 75907)

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
LUMEN INNOVATION ASSET MANAGEMENT LIMITED	RO	Advising on securities	2025-09-15	2025-09-19
	RO	Asset management	2025-09-15	2025-09-19
Snow Lake Capital (HK) Limited	RO	Advising on securities	2019-06-14	2023-01-31
	RO	Asset management	2013-08-26	2023-01-31
	Rep	Asset management	2012-08-31	2013-08-26
ConvergEx Asia Pacific Limited	RO	Dealing in securities	2010-12-03	2012-05-10
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2009-01-29	2010-10-30
CLSA LIMITED	Rep	Dealing in securities	2007-08-29	2009-01-23
AM Squared Limited	Rep	Asset management	2007-01-10	2007-02-12