Personnel Hong Kong SFC License Details (ID 81073)

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
AMRITA CAPITAL LIMITED	RO	Advising on securities	2024-03-28	-
	RO	Asset management	2024-03-28	-
	Rep	Advising on securities	2024-03-06	2024-03-28
	Rep	Asset management	2024-03-06	2024-03-28
China Renaissance Securities (Hong Kong) Limited	RO	Advising on securities	2021-01-18	2024-02-09
	RO	Dealing in securities	2021-01-18	2024-02-09
CR Wealth and Asset Management Limited	RO	Advising on securities	2020-08-07	2024-02-09
	RO	Dealing in securities	2020-08-07	2024-02-09
	RO	Asset management	2019-08-14	2024-02-09
China Renaissance Securities (Hong Kong) Limited	Rep	Advising on securities	2019-05-03	2021-01-18
	Rep	Dealing in securities	2019-05-03	2021-01-18
CR Wealth and Asset Management Limited	Rep	Asset management	2019-05-03	2019-08-14
Yunfeng Securities Limited	RO	Advising on securities	2017-03-07	2019-01-31
Yunfeng Asset Management Limited	RO	Asset management	2016-08-10	2019-01-31
Yunfeng Financial Markets Limited	RO	Advising on securities	2016-08-10	2019-01-31
	RO	Asset management	2016-08-10	2019-01-31
	RO	Dealing in securities	2016-08-10	2019-01-31
Yunfeng Securities Limited	RO	Dealing in securities	2016-08-10	2019-01-31
Yunfeng Asset Management Limited	Rep	Asset management	2016-05-11	2016-08-10
Yunfeng Financial Markets Limited	Rep	Advising on securities	2016-05-11	2016-08-10
	Rep	Asset management	2016-05-11	2016-08-10
	Rep	Dealing in securities	2016-05-11	2016-08-10
Yunfeng Securities Limited	Rep	Dealing in securities	2016-05-11	2016-08-10
STATE STREET GLOBAL ADVISORS ASIA LIMITED	Rep	Advising on futures contracts	2015-11-27	2016-04-08
	Rep	Advising on securities	2015-11-27	2016-04-08
	Rep	Asset management	2011-11-18	2016-03-08
	Rep	Dealing in securities	2011-11-18	2016-04-08
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Asset management	2010-01-21	2011-11-05
	Rep	Dealing in securities	2010-01-21	2011-11-05