Personnel Hong Kong SFC License Details (ID 82695)

Personnel Hong Kong SFC License Details (ID 82695)

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	RO	Asset management	2020-11-23	-
	Rep	Advising on securities	2019-11-06	-
	Rep	Asset management	2019-11-06	2020-11-23
Dongxing Securities (Hong Kong) Asset Management Company Limited	RO	Advising on securities	2017-11-29	2019-10-08
	RO	Asset management	2017-11-29	2019-10-08
	Rep	Advising on securities	2017-06-26	2017-11-29
	Rep	Asset management	2017-06-26	2017-11-29
LBN Advisers Limited	Rep	Asset management	2015-09-04	2017-05-27
HARVEST GLOBAL INVESTMENTS LIMITED	Rep	Advising on securities	2011-06-29	2015-03-25
	Rep	Asset management	2011-06-29	2015-03-25
Halbis Capital Management (Hong Kong) Limited	Rep	Asset management	2005-09-09	2011-05-17
HSBC Global Asset Management (Hong Kong) Limited	Rep	Asset management	2005-09-09	2011-05-17
Halbis Capital Management (Hong Kong) Limited	Rep	Dealing in securities	2005-09-07	2005-09-07
	Rep	Advising on securities	2005-09-07	2011-05-17
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on securities	2005-09-07	2011-05-17
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Advising on securities	2004-10-15	2005-08-26
	Rep	Dealing in securities	2004-10-15	2005-08-26
Morgan Stanley Asia Limited	Rep	Advising on securities	2004-04-02	2004-05-21
	Rep	Dealing in securities	2004-04-02	2004-05-21