Personnel Hong Kong SFC License Details (ID 79889)

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
ARBOS SECURITIES CAPITAL LIMITED	RO	Advising on securities	2026-07-16	-
	RO	Asset management	2026-07-16	-
	RO	Dealing in securities	2026-07-16	-
ASCENDANT SECURITIES (HK) LIMITED	RO	Dealing in securities	2025-10-10	2026-05-24
	RO	Advising on securities	2025-02-07	2026-05-24
	RO	Asset management	2025-02-07	2026-05-24
	Rep	Advising on securities	2025-02-03	2025-02-07
	Rep	Asset management	2025-02-03	2025-02-07
Pearl International Securities Limited	RO	Advising on securities	2023-06-30	2024-09-30
	RO	Asset management	2023-06-30	2024-09-30
	RO	Dealing in securities	2023-06-30	2024-09-30
	Rep	Advising on securities	2023-05-29	2023-06-30
	Rep	Asset management	2023-05-29	2023-06-30
	Rep	Dealing in securities	2023-05-29	2023-06-30
CMBC ASSET MANAGEMENT COMPANY LIMITED	RO	Asset management	2017-08-17	2021-07-28
CMBC INTERNATIONAL FUTURES COMPANY LIMITED	RO	Dealing in futures contracts	2017-07-19	2021-07-28
CMBC SECURITIES COMPANY LIMITED	RO	Advising on securities	2017-07-05	2021-07-28
	RO	Dealing in securities	2017-07-05	2021-07-28
	Rep	Advising on securities	2017-06-15	2017-07-05
	Rep	Dealing in securities	2017-06-15	2017-07-05
CSC SECURITIES (HK) LIMITED	RO	Advising on securities	2016-09-06	2017-05-29
	RO	Asset management	2016-09-06	2017-05-29
	RO	Dealing in futures contracts	2016-09-06	2017-05-29
	RO	Dealing in securities	2016-09-06	2017-05-29
	Rep	Advising on securities	2016-08-23	2016-09-06
	Rep	Asset management	2016-08-23	2016-09-06
	Rep	Dealing in futures contracts	2016-08-23	2016-09-06
	Rep	Dealing in securities	2016-08-23	2016-09-06
GOLDEN GREAT CHINA FUND MANAGEMENT LIMITED	RO	Advising on securities	2016-03-04	2016-05-31
	RO	Asset management	2016-03-04	2016-05-31
	Rep	Advising on securities	2016-01-11	2016-03-04
	Rep	Asset management	2016-01-11	2016-03-04
CHINA HANYA ASSET MANAGEMENT LIMITED	RO	Advising on securities	2015-12-02	2016-01-08
	RO	Asset management	2015-12-02	2016-01-08
FULBRIGHT ASSET MANAGEMENT LIMITED	RO	Asset management	2015-04-15	2015-05-16
FULBRIGHT SECURITIES LIMITED	Rep	Advising on securities	2015-04-15	2015-05-16
FULBRIGHT ASSET MANAGEMENT LIMITED	Rep	Asset management	2013-03-11	2015-04-15
FULBRIGHT SECURITIES LIMITED	RO	Dealing in securities	2013-03-11	2015-05-16
FULBRIGHT FUTURES LIMITED	Rep	Dealing in futures contracts	2011-08-10	2015-05-16
FULBRIGHT SECURITIES LIMITED	Rep	Dealing in securities	2011-02-18	2013-03-11
UPBEST SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2007-10-04	2011-02-09