Personnel Hong Kong SFC License Details (ID 80468)

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
CHINA EASE INVESTMENT LIMITED	RO	Advising on securities	2021-08-23	2022-11-28
	RO	Asset management	2021-08-23	2022-11-28
DELTA ASIA FINANCIAL FUTURES LIMITED	RO	Advising on futures contracts	2016-08-17	2017-12-23
	RO	Dealing in futures contracts	2016-02-03	2017-12-23
DELTA ASIA SECURITIES LIMITED	RO	Advising on securities	2016-02-03	2017-12-23
	RO	Dealing in securities	2016-02-03	2017-12-23
	RO	Leveraged foreign exchange trading	2016-02-03	2017-12-23
Delta Asia Wealth Management Limited	RO	Advising on securities	2016-02-03	2017-12-23
	RO	Asset management	2016-02-03	2017-12-23
DELTA ASIA SECURITIES LIMITED	Rep	Advising on securities	2015-12-07	2016-02-03
Delta Asia Wealth Management Limited	Rep	Advising on securities	2015-12-07	2016-02-03
	Rep	Asset management	2015-12-07	2016-02-03
Beevest Fortune Asset Management Limited	RO	Advising on securities	2015-07-07	2015-11-09
	RO	Asset management	2015-06-01	2015-11-09
Nerico Brothers Limited (HK)	RO	Dealing in futures contracts	2013-10-29	2015-06-01
	RO	Dealing in securities	2013-10-29	2015-06-01
	RO	Leveraged foreign exchange trading	2013-10-29	2015-06-01
	RO	Asset management	2012-04-03	2015-06-01
	Rep	Dealing in futures contracts	2009-10-09	2013-10-29
	Rep	Leveraged foreign exchange trading	2009-10-09	2013-10-29
	Rep	Dealing in securities	2009-08-24	2013-10-29
Mirae Asset Securities (HK) Limited	RO	Advising on corporate finance	2008-10-15	2009-02-28
Value Partners Private Equity Limited	RO	Advising on securities	2007-05-10	2008-07-25
	RO	Asset management	2007-05-10	2008-07-25
	Rep	Advising on securities	2007-02-28	2007-05-10
	Rep	Asset management	2007-02-28	2007-05-10
Alpha Nova Capital Management Limited	RO	Advising on corporate finance	2005-05-10	2007-02-10
	RO	Advising on securities	-	2007-02-10
	RO	Asset management	-	2007-02-10