Personnel Hong Kong SFC License Details (ID 81927)

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.

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Current only

Organisation	Role	Activity	From	Until
JW Capital Limited (HK)	Rep	Asset management	2025-08-01	-
Octiv Capital Limited	RO	Advising on securities	2025-03-27	2025-07-31
	RO	Asset management	2025-03-27	2025-07-31
	Rep	Advising on securities	2025-02-03	2025-03-27
	Rep	Asset management	2025-02-03	2025-03-27
BASE ASSET MANAGEMENT LTD	RO	Advising on securities	2018-11-06	2024-12-31
	RO	Asset management	2018-11-06	2024-12-31
RAYLIANT ASSET MANAGEMENT LIMITED	RO	Advising on securities	2012-11-12	2018-06-30
	RO	Asset management	2012-02-20	2018-06-30
HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED	Rep	Advising on futures contracts	2010-11-16	2011-09-13
	Rep	Advising on securities	2010-11-16	2011-09-13
	Rep	Asset management	2010-11-16	2011-09-13
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Advising on futures contracts	2009-05-21	2011-09-13
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	RO	Advising on securities	2009-04-21	2011-09-13
	RO	Asset management	2009-04-21	2011-09-13
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	RO	Advising on securities	2009-04-21	2011-09-13
	RO	Asset management	2009-04-21	2011-09-13
	RO	Dealing in securities	2009-04-21	2011-09-13
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2009-02-17	2009-05-12
	Rep	Advising on securities	2008-09-29	2009-04-21
	Rep	Asset management	2008-09-29	2009-04-21
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	Rep	Advising on securities	2008-09-29	2009-04-21
	Rep	Asset management	2008-09-29	2009-04-21
	Rep	Dealing in securities	2008-09-29	2009-04-21
Fubon Fund Management (Hong Kong) Limited	Rep	Advising on securities	2007-03-01	2008-09-03
	Rep	Dealing in securities	2007-03-01	2008-09-03
	Rep	Asset management	2007-02-12	2008-09-03
SUMITOMO MITSUI DS ASSET MANAGEMENT (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-08-06
	Rep	Advising on securities	2003-04-01	2005-01-31
	Rep	Asset management	2003-04-01	2007-01-11