Personnel Hong Kong SFC License Details (ID 81917)

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
Sino-Ocean Investment Management Limited	RO	Advising on securities	2021-06-30	-
	RO	Asset management	2021-06-30	-
	Rep	Advising on securities	2021-05-11	2021-06-30
HAITONG INTERNATIONAL FUTURES LIMITED	RO	Dealing in futures contracts	2020-02-25	2021-02-26
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	RO	Advising on securities	2020-02-25	2021-02-26
	RO	Dealing in securities	2020-02-25	2021-02-26
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2019-12-19	2020-02-25
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Advising on securities	2019-12-19	2020-02-25
	Rep	Dealing in securities	2019-12-19	2020-02-25
HAITONG INTERNATIONAL FUTURES LIMITED	RO	Dealing in futures contracts	2017-02-23	2019-07-15
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	RO	Advising on securities	2017-02-23	2019-07-15
	RO	Dealing in securities	2014-05-09	2019-07-15
	Rep	Advising on securities	2014-02-28	2017-02-23
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2013-06-27	2017-02-23
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	RO	Advising on securities	2013-06-11	2013-12-24
	RO	Asset management	2013-06-11	2013-12-24
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2013-06-11	2014-05-09
HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED	RO	Advising on securities	2010-12-01	2013-05-15
	RO	Asset management	2010-12-01	2013-05-15
	RO	Advising on futures contracts	2010-12-01	2013-06-11
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	RO	Advising on securities	2010-12-01	2013-05-15
	RO	Asset management	2010-12-01	2013-05-15
	RO	Advising on futures contracts	2010-12-01	2013-06-11
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	RO	Advising on securities	2010-12-01	2013-05-15
	RO	Asset management	2010-12-01	2013-05-15
HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED	Rep	Advising on futures contracts	2010-08-11	2010-12-01
	Rep	Advising on securities	2010-08-11	2010-12-01
	Rep	Asset management	2010-08-11	2010-12-01
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2010-08-11	2010-12-01
	Rep	Advising on securities	2010-08-11	2010-12-01
	Rep	Asset management	2010-08-11	2010-12-01
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	Rep	Advising on securities	2010-08-11	2010-12-01
	Rep	Asset management	2010-08-11	2010-12-01