Personnel Hong Kong SFC License Details (ID 82552)

Personnel Hong Kong SFC License Details (ID 82552)

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
Ascent Fund Management (HK) Limited	Rep	Asset management	2024-09-13	2026-05-13
HashKey Capital Limited	Rep	Asset management	2021-06-03	2023-11-02
Goldstream Capital Management Limited	Rep	Asset management	2020-02-24	2021-04-30
Caitong International Asset Management Co., Limited	Rep	Asset management	2017-08-03	2020-01-31
Racing Capital Management (HK) Limited	RO	Advising on securities	2016-11-11	2017-07-20
	RO	Asset management	2016-07-06	2017-07-20
	Rep	Asset management	2016-06-16	2016-07-06
HAMON ASIAN ADVISORS LIMITED	Rep	Advising on securities	2010-09-10	2014-04-15
	Rep	Asset management	2010-09-10	2014-04-15
HAMON ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2010-09-10	2014-04-15
	Rep	Advising on securities	2010-09-10	2014-04-15
	Rep	Asset management	2010-09-10	2014-04-15
PFP Capital Limited	Rep	Advising on futures contracts	2010-09-10	2014-04-15
	Rep	Advising on securities	2010-09-10	2014-04-15
	Rep	Asset management	2010-09-10	2014-04-15
BNP PARIBAS FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2010-05-19	2010-06-01
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2008-08-20	2010-06-01
CLSA RESEARCH LIMITED	Rep	Advising on securities	2007-02-26	2008-05-28
CLSA LIMITED	Rep	Dealing in securities	2004-09-23	2007-03-19