Personnel Hong Kong SFC License Details (ID 82325)

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
CPIC Investment Management (H.K.) Company Limited	Rep	Advising on securities	2025-11-03	-
	Rep	Asset management	2025-11-03	-
	Rep	Dealing in securities	2025-11-03	-
Capstone Capital Management Limited	Rep	Advising on securities	2023-11-17	2024-03-28
	Rep	Asset management	2023-11-17	2024-03-28
CCB Principal Asset Management (Hong Kong) Co., Limited	Rep	Advising on securities	2020-12-04	2023-06-01
	Rep	Asset management	2020-12-04	2023-06-01
PING AN OF CHINA ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED	Rep	Dealing in securities	2018-07-10	2020-10-27
	Rep	Advising on securities	2017-01-24	2020-10-27
	Rep	Asset management	2017-01-24	2020-10-27
Shinhan Asset Management (Hong Kong) Limited	Rep	Advising on securities	2015-04-01	2017-01-15
	Rep	Asset management	2015-04-01	2017-01-15
HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED	Rep	Advising on futures contracts	2013-07-05	2015-03-10
	Rep	Advising on securities	2013-07-05	2015-03-10
	Rep	Asset management	2013-07-05	2015-03-10
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2013-07-05	2015-03-10
	Rep	Advising on securities	2013-07-05	2015-03-10
	Rep	Asset management	2013-07-05	2015-03-10
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	Rep	Advising on securities	2013-07-05	2015-03-10
	Rep	Asset management	2013-07-05	2015-03-10
	Rep	Dealing in securities	2013-07-05	2015-03-10
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Leveraged foreign exchange trading	2012-03-23	2013-06-29
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2011-08-15	2013-06-29
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2011-08-15	2013-06-29