Personnel SFC Licences and HKMA Registrations (ID 81926)

Key Data Licences & registrations 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
CCB INTERNATIONAL ASSET MANAGEMENT LIMITED	RO	Advising on securities	2021-06-24	-
	RO	Asset management	2021-06-24	-
	RO	Dealing in securities	2021-06-24	-
	Rep	Dealing in securities	2021-02-19	2021-06-24
	Rep	Advising on securities	2021-01-29	2021-06-24
	Rep	Asset management	2021-01-29	2021-06-24
ABCI ASSET MANAGEMENT LIMITED	RO	Advising on securities	2015-02-10	2021-01-08
	RO	Asset management	2015-02-10	2021-01-08
	Rep	Advising on securities	2014-05-30	2015-02-10
	Rep	Asset management	2014-05-30	2015-02-10
CHINA EVERBRIGHT SECURITIES ASSET MANAGEMENT LIMITED	RO	Asset management	2013-03-22	2014-05-16
	Rep	Asset management	2012-11-16	2013-03-22
	Rep	Advising on securities	2012-11-16	2014-05-16
	Rep	Dealing in securities	2012-11-16	2014-05-16
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	Asset management	2012-04-10	2014-05-16
HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED	Rep	Advising on futures contracts	2011-04-07	2012-03-13
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2011-04-07	2012-03-13
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	Rep	Dealing in securities	2011-04-07	2012-03-13
HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED	Rep	Advising on securities	2010-11-24	2012-03-13
	Rep	Asset management	2010-11-24	2012-03-13
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2010-11-24	2012-03-13
	Rep	Asset management	2010-11-24	2012-03-13
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	Rep	Advising on securities	2010-11-24	2012-03-13
	Rep	Asset management	2010-11-24	2012-03-13
GUOSEN SECURITIES (HK) ASSET MANAGEMENT COMPANY LIMITED	Rep	Advising on securities	2010-07-28	2010-10-31
	Rep	Asset management	2010-07-28	2010-10-31
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2009-08-10	2010-07-10
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2009-08-10	2010-07-10
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2009-04-14	2010-07-10
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	Rep	Advising on securities	2009-04-14	2010-07-10
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Asset management	2008-05-03	2010-07-10
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	Rep	Asset management	2008-05-03	2010-07-10
CAPITAL GLOBAL MANAGEMENT LIMITED	Rep	Dealing in securities	2007-08-01	2008-02-11

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.