Personnel Hong Kong SFC License Details (ID 79943)

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
CNO Capital (Hong Kong) Limited	RO	Advising on securities	2026-04-08	-
	RO	Asset management	2026-04-08	-
CHRISTFUND SECURITIES LIMITED	Rep	Asset management	2023-09-07	2024-01-31
	Rep	Dealing in securities	2023-09-07	2024-01-31
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2022-06-23	2022-11-21
	Rep	Dealing in securities	2022-06-23	2022-11-21
Canfield Securities Company Limited	RO	Advising on securities	2019-08-06	2022-05-19
	RO	Asset management	2019-08-06	2022-05-19
	RO	Dealing in securities	2019-08-06	2022-05-19
	Rep	Advising on securities	2019-06-24	2019-08-06
	Rep	Asset management	2019-06-24	2019-08-06
	Rep	Dealing in securities	2019-06-24	2019-08-06
VC BROKERAGE LIMITED	RO	Advising on securities	2019-02-14	2019-05-22
Ethk Funds Limited	RO	Asset management	2018-10-23	2019-05-22
VC BROKERAGE LIMITED	RO	Dealing in securities	2018-10-23	2019-05-22
	Rep	Dealing in securities	2018-10-12	2018-10-23
Original Group Securities Limited	RO	Dealing in securities	2016-12-15	2018-09-18
orientiert International Markets Limited	RO	Advising on securities	2016-08-30	2016-10-05
	RO	Asset management	2016-08-30	2016-10-05
	RO	Dealing in securities	2016-08-30	2016-10-05
oOo Securities (HK) Group Limited	RO	Dealing in securities	2016-02-04	2016-10-05
	RO	Advising on securities	2015-04-23	2016-10-05
	RO	Asset management	2015-04-23	2016-10-05
	Rep	Advising on securities	2015-04-16	2015-04-23
	Rep	Asset management	2015-04-16	2015-04-23
	Rep	Dealing in securities	2015-04-16	2016-02-04
FULBRIGHT ASSET MANAGEMENT LIMITED	RO	Asset management	2013-10-29	2015-04-01
	Rep	Asset management	2013-07-10	2013-10-29
FULBRIGHT SECURITIES LIMITED	RO	Advising on securities	2011-03-30	2015-04-01
	Rep	Advising on securities	2011-03-08	2011-03-30
	Rep	Dealing in securities	2011-03-08	2015-04-01
RHB ASSET MANAGEMENT LIMITED	Rep	Asset management	2009-07-21	2011-01-13
RHB SECURITIES HONG KONG LIMITED	Rep	Advising on securities	2009-07-21	2011-02-28
	Rep	Dealing in securities	2009-07-21	2011-02-28
TIAN YUAN FINANCE LIMITED	Rep	Asset management	2008-08-07	2009-07-11
PRUDENTIAL BROKERAGE LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-06-09
	Rep	Asset management	2003-04-01	2004-06-09
	Rep	Providing automated trading services	2003-04-01	2004-06-09
	Rep	Advising on securities	2003-04-01	2009-07-11
	Rep	Dealing in securities	2003-04-01	2009-07-11
TIAN YUAN FINANCE LIMITED	Rep	Advising on corporate finance	2003-04-01	2009-07-11