Personnel Hong Kong SFC License Details (ID 82499)

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
Sprout Asset Management (Asia) Limited	RO	Advising on securities	2024-09-19	2025-02-07
	RO	Asset management	2024-09-19	2025-02-07
	RO	Dealing in securities	2024-09-19	2025-02-07
	Rep	Advising on securities	2024-03-15	2024-09-19
	Rep	Asset management	2024-03-15	2024-09-19
	Rep	Dealing in securities	2024-03-15	2024-09-19
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	RO	Advising on futures contracts	2021-07-29	2023-11-30
HSBC Global Asset Management Holdings (Bahamas) Limited	RO	Asset management	2021-03-03	2023-11-30
SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED	RO	Advising on futures contracts	2011-07-07	2011-08-31
	RO	Advising on securities	2011-07-07	2011-08-31
	RO	Asset management	2011-07-07	2011-08-31
	RO	Dealing in securities	2011-07-07	2011-08-31
HSBC Global Asset Management (Hong Kong) Limited	RO	Dealing in futures contracts	2010-09-20	2023-11-30
	RO	Advising on futures contracts	2010-06-28	2023-11-30
	RO	Dealing in securities	2010-06-28	2023-11-30
Halbis Capital Management (Hong Kong) Limited	RO	Dealing in futures contracts	2008-04-01	2011-12-31
	RO	Advising on futures contracts	2007-10-11	2011-12-31
	RO	Advising on securities	2006-03-10	2011-12-31
	RO	Asset management	2006-03-10	2011-12-31
	RO	Dealing in securities	2006-03-10	2011-12-31
HSBC Global Asset Management (Hong Kong) Limited	RO	Advising on securities	2006-03-10	2023-11-30
	RO	Asset management	2006-03-10	2023-11-30
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	RO	Advising on securities	2006-03-10	2023-11-30
	RO	Asset management	2006-03-10	2023-11-30
	RO	Dealing in securities	2006-03-10	2023-11-30
Halbis Capital Management (Hong Kong) Limited	Rep	Advising on securities	2005-07-15	2006-03-10
	Rep	Asset management	2005-07-15	2006-03-10
	Rep	Dealing in securities	2005-07-15	2006-03-10
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Dealing in securities	2004-04-06	2006-03-10
Halbis Capital Management (Hong Kong) Limited	Rep	Advising on corporate finance	-	2004-02-16
	Rep	Advising on securities	-	2004-02-16
	Rep	Asset management	-	2004-02-16
	Rep	Dealing in securities	-	2004-08-30
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on corporate finance	-	2004-02-16
	Rep	Advising on securities	-	2006-03-10
	Rep	Asset management	-	2006-03-10