Personnel Hong Kong SFC License Details (ID 82894)

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
Red South Investment Management Limited	RO	Advising on securities	2025-12-12	2026-06-22
	RO	Asset management	2025-12-12	2026-06-22
Altive Limited	RO	Advising on securities	2025-03-28	2025-06-30
	RO	Asset management	2025-03-28	2025-06-30
	Rep	Advising on securities	2025-02-19	2025-03-28
	Rep	Asset management	2025-02-19	2025-03-28
RiverCircle Investments Limited	RO	Advising on securities	2022-08-22	2025-02-03
	RO	Asset management	2022-08-22	2025-02-03
	Rep	Advising on securities	2022-06-13	2022-08-22
	Rep	Asset management	2022-06-13	2022-08-22
NINE UNICORN CAPITAL LIMITED	RO	Advising on securities	2021-06-29	2022-05-16
	RO	Asset management	2021-06-29	2022-05-16
Fosun International Securities Limited	Rep	Advising on corporate finance	2018-01-10	2019-07-19
	Rep	Dealing in securities	2018-01-10	2019-07-19
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	RO	Dealing in securities	2016-06-27	2017-11-24
Guosen Securities (HK) Brokerage Company, Limited	Rep	Dealing in securities	2016-03-18	2017-11-24
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	Rep	Dealing in securities	2015-11-06	2016-06-27
	Rep	Advising on corporate finance	2015-11-06	2017-11-24
PARTNERS CAPITAL INTERNATIONAL LIMITED	Rep	Advising on corporate finance	2015-08-17	2015-09-15
PARTNERS CAPITAL SECURITIES LIMITED	Rep	Dealing in securities	2015-07-15	2015-09-15
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2014-06-04	2015-07-03
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2014-06-04	2015-07-03
LEGENDS ASSET MANAGEMENT LIMITED	Rep	Asset management	2013-09-19	2013-11-11
SDIC SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2013-01-30	2013-08-26
SDIC SECURITIES FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2013-01-30	2013-08-26
Funderstone Futures Limited	Rep	Dealing in futures contracts	2012-08-16	2013-01-15
Funderstone Securities Limited	Rep	Dealing in securities	2012-08-16	2013-01-15
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2010-08-23	2012-05-13
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2010-08-23	2012-05-13
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2010-06-18	2012-05-13