Personnel Hong Kong SFC License Details (ID 77439)

Personnel Hong Kong SFC License Details (ID 77439)

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
Goldhorse Securities Limited	Rep	Dealing in securities	2025-11-07	2026-01-19
GOLDHORSE CAPITAL MANAGEMENT (HK) LIMITED	RO	Advising on securities	2021-10-21	2026-01-19
	RO	Dealing in securities	2021-10-21	2026-01-19
	Rep	Advising on securities	2020-12-07	2021-10-21
	Rep	Dealing in securities	2020-12-07	2021-10-21
	Rep	Asset management	2020-12-07	2022-01-19
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED	Rep	Asset management	2015-06-10	2017-07-17
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Advising on securities	2015-06-10	2017-07-17
	Rep	Dealing in securities	2015-06-10	2017-07-17
ARK GROUP HOLDINGS (HONG KONG) LIMITED	Rep	Advising on securities	2014-08-21	2015-05-28
	Rep	Dealing in securities	2014-08-21	2015-05-28
ABCI ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2013-12-09	2014-01-29
	Rep	Asset management	2013-11-14	2014-01-29
Credit Suisse (Hong Kong) Limited	Rep	Dealing in securities	2007-05-18	2012-09-28
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in securities	2005-10-13	2007-04-11