Personnel Hong Kong SFC License Details (ID 75916)

Personnel Hong Kong SFC License Details (ID 75916)

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
Aurora Borealis Investment Services Limited	RO	Advising on securities	2016-05-18	-
	RO	Asset management	2016-05-18	-
	RO	Dealing in securities	2016-05-18	-
CIS SECURITIES ASSET MANAGEMENT LIMITED	RO	Asset management	2013-04-23	2016-05-05
	Rep	Asset management	2013-02-04	2013-04-23
	RO	Dealing in futures contracts	2011-12-21	2016-05-05
OnePlatform Asset Management Limited	Rep	Asset management	2010-06-11	2014-03-13
	RO	Dealing in securities	2010-04-01	2014-03-13
CIS SECURITIES ASSET MANAGEMENT LIMITED	Rep	Dealing in futures contracts	2008-12-24	2011-12-21
	RO	Advising on securities	2008-12-24	2016-05-05
	RO	Dealing in securities	2007-12-07	2016-05-05
HUA NAN SECURITIES (HK) LIMITED	RO	Dealing in securities	2005-02-08	2007-07-06
	Rep	Dealing in securities	2005-02-03	2005-02-08
Beijing Securities Limited	RO	Dealing in securities	2004-04-26	2005-02-03
	Rep	Dealing in securities	2004-04-21	2004-04-26
FUHWA SECURITIES (HONG KONG) CO., LIMITED	RO	Dealing in securities	2003-04-01	2004-03-08