Personnel Hong Kong SFC License Details (ID 82927)

Personnel Hong Kong SFC License Details (ID 82927)

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
AWM Asset Management Limited	RO	Advising on securities	2025-04-01	-
	RO	Asset management	2025-04-01	-
Innovest Securities Investment Limited	RO	Dealing in securities	2019-05-14	2022-07-01
Dynasty Alliance Investment Management Limited	RO	Advising on securities	2019-02-20	2024-11-30
	RO	Asset management	2017-03-10	2024-11-30
	Rep	Asset management	2017-01-11	2017-03-10
TOPAZ CAPITAL MANAGEMENT LIMITED	Rep	Asset management	2014-06-19	2016-08-31
Topaz Financial Group Limited	Rep	Dealing in futures contracts	2014-01-09	2016-08-31
	Rep	Dealing in securities	2014-01-09	2016-08-31
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2005-01-12	2013-12-17
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2005-01-12	2013-12-17
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2005-01-12	2013-12-17