Personnel Hong Kong SFC License Details (ID 81544)

Personnel Hong Kong SFC License Details (ID 81544)

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
uSmart Securities Limited	RO	Advising on securities	2021-03-15	2023-06-30
	RO	Asset management	2021-03-15	2023-06-30
	Rep	Advising on securities	2020-12-17	2021-03-15
	Rep	Asset management	2020-12-17	2021-03-15
Zynergy Asset Management Limited	RO	Advising on securities	2020-10-28	2020-12-09
	RO	Asset management	2013-10-10	2020-12-09
Ark Securities (Hong Kong) Limited	RO	Asset management	2010-11-23	2012-10-13
PROVIDENT FUTURES (HONG KONG) LIMITED	RO	Advising on futures contracts	2010-11-23	2012-10-13
Metaverse Securities Limited (HK)	RO	Advising on futures contracts	2006-05-26	2007-09-15
	Rep	Advising on futures contracts	2004-11-12	2006-05-26
SMBC NIKKO SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2004-11-12	2007-09-15
	Rep	Asset management	2004-11-12	2007-09-15
	Rep	Dealing in securities	2004-11-12	2007-09-15