Personnel Hong Kong SFC License Details (ID 83820)

Personnel Hong Kong SFC License Details (ID 83820)

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
NEAR FAIR FUND MANAGEMENT COMPANY LIMITED	RO	Asset management	2026-04-21	-
Direction Capital Limited	RO	Advising on securities	2024-06-04	2026-01-31
	RO	Asset management	2024-06-04	2026-01-31
Motto Global Asset Management Limited	Rep	Advising on securities	2024-04-25	2024-04-30
	Rep	Asset management	2024-04-25	2024-04-30
JOYFUL CAPITAL HK LIMITED	RO	Advising on securities	2022-09-21	2024-03-05
	RO	Asset management	2022-09-21	2024-03-05
FULBRIGHT SECURITIES LIMITED	Rep	Advising on securities	2020-10-27	2022-03-28
	Rep	Dealing in securities	2020-10-27	2022-03-28
CIS SECURITIES ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2017-04-18	2020-08-21
	Rep	Dealing in securities	2017-04-18	2020-08-21
CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED	Rep	Advising on securities	2016-06-24	2016-11-05
	Rep	Dealing in securities	2016-06-24	2016-11-05
FWD Financial Planning Limited (HK)	Rep	Dealing in securities	2011-03-31	2014-08-25
	Rep	Advising on securities	2008-07-07	2014-08-25
THORNTON GLOBAL WEALTH MANAGEMENT LIMITED	Rep	Advising on securities	2006-04-21	2007-05-18
FWD Financial Planning Limited (HK)	Rep	Advising on securities	2003-04-16	2006-03-20