Personnel Hong Kong SFC License Details (ID 80316)

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
Pryme Capital Limited (b2021-02-19)	RO	Advising on securities	2026-02-03	-
	RO	Asset management	2026-02-03	-
	Rep	Advising on securities	2026-01-27	2026-02-03
	Rep	Asset management	2026-01-27	2026-02-03
AFT HK Treasury Limited	RO	Advising on securities	2025-10-20	2026-01-26
	RO	Asset management	2025-10-20	2026-01-26
	RO	Dealing in securities	2025-10-20	2026-01-26
CSII Capital Limited	RO	Advising on securities	2020-10-05	2023-01-13
	RO	Asset management	2020-10-05	2023-01-13
Bright Fund Management Limited	RO	Advising on securities	2017-10-25	2020-02-03
	RO	Asset management	2017-10-25	2020-02-03
	RO	Dealing in securities	2017-10-25	2020-02-03
CHINA EVERBRIGHT SECURITIES ASSET MANAGEMENT LIMITED	RO	Advising on securities	2017-04-20	2020-02-03
	RO	Asset management	2017-04-20	2020-02-03
	RO	Dealing in securities	2017-04-20	2020-02-03
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	RO	Advising on securities	2016-12-19	2020-02-03
	RO	Asset management	2016-12-19	2020-02-03
	RO	Dealing in securities	2016-12-19	2020-02-03
	Rep	Advising on securities	2016-10-24	2016-12-19
	Rep	Asset management	2016-10-24	2016-12-19
	Rep	Dealing in securities	2016-10-24	2016-12-19
KVB KUNLUN ASSET MANAGEMENT (HK) LIMITED	RO	Advising on securities	2015-05-15	2016-08-01
	RO	Asset management	2015-05-15	2016-08-01
KVB Kunlun Securities (HK) Limited	RO	Dealing in securities	2015-05-15	2016-08-01
KVB KUNLUN ASSET MANAGEMENT (HK) LIMITED	Rep	Advising on securities	2015-03-30	2015-05-15
	Rep	Asset management	2015-03-30	2015-05-15
KVB Kunlun Securities (HK) Limited	Rep	Dealing in securities	2015-03-30	2015-05-15
QMIS Asset Management Limited	RO	Advising on securities	2014-08-06	2015-03-13
	RO	Asset management	2014-08-06	2015-03-13
QMIS Securities Limited	RO	Dealing in securities	2014-08-06	2015-03-13
QMIS Asset Management Limited	Rep	Asset management	2013-07-24	2014-08-06
QMIS Securities Limited	Rep	Dealing in securities	2013-07-24	2014-08-06
GET NICE SECURITIES LIMITED	Rep	Advising on corporate finance	2009-02-06	2013-07-12
	Rep	Asset management	2009-02-06	2013-07-12
	Rep	Dealing in securities	2007-12-03	2013-07-12