Personnel Hong Kong SFC License Details (ID 79388)

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
KHG Asset Management Limited	RO	Advising on securities	2024-01-04	-
	RO	Asset management	2024-01-04	-
	RO	Dealing in securities	2024-01-04	-
Augment Wealth Advisors Limited	RO	Dealing in futures contracts	2021-08-19	2022-12-13
	RO	Dealing in securities	2021-08-19	2022-12-13
	RO	Advising on futures contracts	2021-08-19	2023-10-31
	RO	Advising on securities	2021-08-19	2023-10-31
	RO	Asset management	2021-08-19	2023-10-31
AOP Capital Limited	Rep	Advising on securities	2020-09-02	2021-01-22
	Rep	Asset management	2020-09-02	2021-01-22
JOINCAP CAPITAL LIMITED	RO	Advising on securities	2017-09-22	2020-08-31
	RO	Asset management	2017-09-22	2020-08-31
Grit Securities Limited	RO	Dealing in securities	2017-03-08	2020-08-31
EUREKA CAPITAL PARTNERS (HK) LIMITED	RO	Advising on securities	2016-08-23	2017-03-05
	RO	Dealing in securities	2016-08-23	2017-03-05
EXECUTION NOBLE (HONG KONG) LIMITED (TRADING AS ESPIRITO SANTO SECURITIES)	RO	Dealing in securities	2007-03-22	2015-04-10
	Rep	Dealing in securities	2006-05-15	2007-03-22
	RO	Dealing in securities	2005-12-19	2006-05-15
	Rep	Dealing in securities	2005-10-14	2005-12-19
SBI China Capital Commodities Limited	RO	Advising on futures contracts	2005-04-21	2005-08-08
	RO	Asset management	2005-04-21	2005-08-08
SBI China Capital Securities Limited	RO	Advising on securities	2005-04-21	2005-08-08
	RO	Asset management	2005-04-21	2005-08-08
SBI China Capital Commodities Limited	RO	Dealing in futures contracts	2003-04-01	2005-08-08
SBI China Capital Financial Services Limited	RO	Dealing in securities	2003-04-01	2005-08-08
SBI China Capital Securities Limited	RO	Dealing in securities	2003-04-01	2005-08-08