Personnel Hong Kong SFC License Details (ID 76337)

Personnel Hong Kong SFC License Details (ID 76337)

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
CIS SECURITIES ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2025-05-13	-
	Rep	Asset management	2025-05-13	-
	Rep	Dealing in futures contracts	2025-05-13	-
	Rep	Dealing in securities	2025-05-13	-
	RO	Advising on securities	2019-05-14	2022-04-18
	RO	Dealing in securities	2019-05-14	2022-04-18
	Rep	Advising on securities	2018-10-15	2019-05-14
	Rep	Asset management	2018-10-15	2022-04-18
	Rep	Dealing in futures contracts	2018-10-15	2022-04-18
	Rep	Dealing in securities	2018-09-05	2019-05-14
iTrade Securities Investment Limited	Rep	Dealing in securities	2018-04-27	2018-08-01
OnePlatform Asset Management Limited	Rep	Dealing in securities	2007-09-12	2017-11-22
	Rep	Advising on securities	2007-06-22	2017-11-22
HANG SENG INVESTMENT MANAGEMENT LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-12-30
	Rep	Asset management	2003-04-01	2003-12-30
	Rep	Advising on securities	2003-04-01	2004-07-05
	Rep	Dealing in securities	2003-04-01	2004-07-05