Personnel Hong Kong SFC License Details (ID 81739)

Personnel Hong Kong SFC License Details (ID 81739)

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
QUAM ASSET MANAGEMENT LIMITED	Rep	Dealing in securities	2024-08-02	-
	Rep	Asset management	2023-12-27	-
Raffles Assets Management (HK) Co. Limited	Rep	Asset management	2022-08-26	2023-08-17
Kaisa Financial Group Company Limited	Rep	Dealing in securities	2021-08-09	2021-10-28
Kaisa Asset Management Limited	Rep	Advising on securities	2021-07-05	2021-10-28
AMBER HILL CAPITAL LIMITED	Rep	Advising on securities	2020-07-20	2021-04-01
Kaisa Asset Management Limited	Rep	Advising on securities	2019-03-19	2020-04-30
Kaisa Financial Group Company Limited	Rep	Dealing in securities	2019-03-19	2020-04-30
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	Rep	Advising on corporate finance	2011-06-22	2012-03-31
	Rep	Dealing in securities	2011-04-14	2012-03-31
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2008-06-23	2009-05-16
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-06-23	2009-05-16