Personnel Hong Kong SFC License Details (ID 81655)

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
Invar Capital (HK) Limited	RO	Advising on securities	2025-03-11	-
	RO	Asset management	2025-03-11	-
	RO	Dealing in securities	2025-03-11	-
CANTON MUTUAL FINANCIAL LIMITED	RO	Dealing in securities	2024-12-12	2025-01-31
	RO	Advising on securities	2023-04-04	2025-01-31
	RO	Asset management	2023-04-04	2025-01-31
HONGKONG BAY ASSET MANAGEMENT LIMITED	RO	Advising on securities	2021-10-28	2022-05-31
	RO	Asset management	2021-10-28	2022-05-31
Hongkong Bay Securities Limited	RO	Advising on securities	2021-10-28	2022-05-31
	RO	Dealing in securities	2021-10-28	2022-05-31
	Rep	Dealing in securities	2021-10-19	2021-10-28
CIF Securities Futures Limited	RO	Dealing in futures contracts	2020-10-27	2021-09-17
	RO	Dealing in securities	2020-10-27	2021-09-17
	Rep	Dealing in futures contracts	2019-04-11	2020-10-27
	Rep	Dealing in securities	2019-04-11	2020-10-27
Infinitus Partners Asset Management Limited	Rep	Advising on securities	2018-11-16	2019-03-08
	Rep	Asset management	2018-11-16	2019-03-08
SBI China Capital Asset Management Limited	Rep	Asset management	2018-07-06	2018-10-25
SBI China Capital Financial Services Limited	Rep	Advising on securities	2018-07-06	2018-10-25
	Rep	Dealing in securities	2018-05-28	2018-10-25
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2015-02-10	2017-11-22
	Rep	Dealing in securities	2015-02-10	2017-11-22
Guosen Securities (HK) Brokerage Company, Limited	Rep	Dealing in futures contracts	2014-06-13	2015-01-21
	Rep	Dealing in securities	2014-06-13	2015-01-21
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2013-09-12	2014-05-23
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Dealing in securities	2011-12-12	2014-05-23
SINOLINK SECURITIES (HONG KONG) COMPANY LIMITED	Rep	Dealing in securities	2011-07-19	2011-12-03
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2010-02-26	2011-06-27