Personnel Hong Kong SFC License Details (ID 81726)

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
WinExcel Asset Management Limited	RO	Advising on securities	2026-04-24	-
	RO	Asset management	2026-04-24	-
YEE TAI ASSET MANAGEMENT LIMITED	RO	Advising on securities	2026-02-23	2026-04-16
	RO	Asset management	2026-02-23	2026-04-16
Webot Securities Limited	RO	Dealing in securities	2024-02-20	2025-12-15
Zheng He Capital Management Limited	RO	Advising on securities	2021-08-10	2024-01-26
	RO	Asset management	2021-08-10	2024-01-26
	Rep	Advising on securities	2021-08-04	2021-08-10
	Rep	Asset management	2021-08-04	2021-08-10
Hao Tian International Futures Limited	RO	Dealing in futures contracts	2020-03-19	2020-12-18
Hao Tian Asset Management Limited	RO	Advising on securities	2019-12-06	2021-07-21
	RO	Asset management	2019-12-06	2021-07-21
Hao Tian International Securities Limited	RO	Dealing in securities	2019-12-06	2021-07-21
	Rep	Dealing in securities	2019-11-11	2019-12-06
China Vered Asset Management (Hong Kong) Limited	RO	Advising on securities	2019-04-15	2019-06-07
China Vered Securities Limited	RO	Advising on securities	2019-04-15	2019-06-07
	RO	Dealing in securities	2019-04-15	2019-06-07
China Vered Asset Management (Hong Kong) Limited	Rep	Advising on securities	2019-04-09	2019-04-09
China Vered Securities Limited	Rep	Advising on securities	2018-11-26	2019-04-15
	Rep	Dealing in securities	2018-11-26	2019-04-15
DONGXING SECURITIES (HONG KONG) COMPANY LIMITED	Rep	Advising on corporate finance	2016-09-13	2016-12-31
	Rep	Dealing in securities	2016-09-13	2016-12-31
Crosby Securities Limited	Rep	Advising on corporate finance	2015-12-08	2016-06-17
	Rep	Advising on securities	2015-12-08	2016-06-17
	Rep	Dealing in securities	2015-12-08	2016-06-17
Guosen Securities (HK) Brokerage Company, Limited	Rep	Advising on securities	2013-09-19	2015-11-03
	Rep	Dealing in securities	2013-05-29	2015-11-03
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	RO	Advising on corporate finance	2013-01-07	2013-05-13
	RO	Dealing in securities	2012-09-10	2013-03-10
	Rep	Dealing in securities	2011-06-21	2012-09-10
	Rep	Advising on corporate finance	2011-06-21	2013-01-07
STORMHARBOUR SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	2010-04-16	2011-04-15
	Rep	Advising on securities	2010-04-16	2011-04-15
	Rep	Dealing in securities	2010-04-16	2011-04-15