Personnel Hong Kong SFC License Details (ID 84171)

Personnel Hong Kong SFC License Details (ID 84171)

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
Black Dragon Asset Management Limited	RO	Advising on securities	2024-12-31	-
	RO	Asset management	2024-12-31	-
	RO	Dealing in securities	2024-12-31	-
SHENWAN HONGYUAN ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2020-10-28	2022-08-12
	Rep	Asset management	2020-10-28	2022-08-12
Yuanta Securities (Hong Kong) Company Limited	Rep	Advising on futures contracts	2015-02-10	2015-11-16
	Rep	Advising on securities	2015-02-10	2015-11-16
	Rep	Dealing in futures contracts	2015-02-10	2015-11-16
	Rep	Dealing in securities	2015-02-10	2015-11-16
YUANTA FUTURES (HK) CO., LIMITED	Rep	Advising on futures contracts	2013-08-23	2015-12-24
	Rep	Dealing in futures contracts	2013-08-23	2015-12-24
iTTa Capital Limited	Rep	Dealing in securities	2011-07-29	2012-11-30
Sumo Asset Management Limited	Rep	Advising on securities	2010-07-20	2013-07-31
	Rep	Asset management	2010-07-20	2013-07-31
Kirin Asset Management Limited	Rep	Advising on securities	2008-07-30	2010-01-29
	Rep	Asset management	2008-07-30	2010-01-29