Personnel Hong Kong SFC License Details (ID 77816)

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
Shangding International Asset Management Company Limited	RO	Asset management	2016-07-08	2023-10-20
	Rep	Asset management	2016-04-26	2016-07-08
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on futures contracts	2014-03-26	2015-06-27
	Rep	Advising on securities	2014-03-26	2015-06-27
	Rep	Dealing in futures contracts	2014-03-26	2015-06-27
	Rep	Dealing in securities	2014-03-26	2015-06-27
Everbright Capital Management Limited	Rep	Advising on securities	2012-07-05	2013-09-10
	Rep	Asset management	2012-07-05	2013-09-10
DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED	Rep	Dealing in futures contracts	2010-11-20	2012-03-22
	Rep	Dealing in securities	2010-11-20	2012-03-22
Daiwa Capital Markets Hong Kong Limited	RO	Advising on securities	2010-04-21	2012-03-22
	RO	Dealing in securities	2010-04-21	2012-03-22
	Rep	Advising on securities	2010-02-12	2010-04-21
	Rep	Dealing in securities	2010-02-12	2010-04-21
	Rep	Dealing in futures contracts	2010-02-12	2012-03-22
EFG Asset Management (HK) Limited	RO	Advising on securities	2009-02-06	2009-11-11
	RO	Asset management	2009-02-06	2009-11-11
	Rep	Advising on securities	2008-12-15	2009-02-06
	Rep	Asset management	2008-12-15	2009-02-06
Credit Agricole Securities (Asia) Limited	RO	Dealing in securities	2007-11-01	2008-12-01
	Rep	Dealing in securities	2006-05-10	2007-11-01
RBS Asia Futures Limited	Rep	Dealing in futures contracts	2006-05-10	2008-12-01
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in securities	2005-01-10	2005-07-07
	RO	Dealing in securities	2004-06-01	2005-01-10
	RO	Advising on futures contracts	2004-06-01	2005-07-07
	RO	Dealing in futures contracts	2004-06-01	2005-07-07
	Rep	Dealing in securities	2004-03-05	2004-06-01