Personnel Hong Kong SFC License Details (ID 84626)

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
Prominence Investment Management Limited	RO	Advising on securities	2021-10-22	-
	RO	Asset management	2021-10-22	-
Meyer Capital Group Limited	RO	Asset management	2021-03-02	2021-09-30
	Rep	Asset management	2021-01-22	2021-03-02
Xen Capital (HK) Limited	RO	Advising on securities	2019-11-15	2020-12-30
	RO	Asset management	2019-11-15	2020-12-30
	Rep	Advising on securities	2019-11-04	2019-11-15
	Rep	Asset management	2019-11-04	2019-11-15
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	RO	Advising on securities	2016-09-20	2018-01-31
	RO	Asset management	2016-09-20	2018-01-31
	RO	Dealing in futures contracts	2016-09-20	2018-01-31
	RO	Dealing in securities	2016-09-20	2018-01-31
	Rep	Advising on securities	2015-11-03	2016-09-20
	Rep	Asset management	2015-11-03	2016-09-20
	Rep	Dealing in futures contracts	2015-11-03	2016-09-20
	Rep	Dealing in securities	2015-11-03	2016-09-20
Alphamax Asset Management (HK) Limited	Rep	Asset management	2015-04-02	2015-08-21
Old Peak Capital Limited	RO	Advising on securities	2014-07-08	2015-02-10
	RO	Asset management	2014-07-08	2015-02-10
JS CRESVALE CAPITAL LIMITED	RO	Asset management	2011-06-02	2013-06-03
	RO	Dealing in securities	2011-06-02	2013-06-03
JS CRESVALE SECURITIES INTERNATIONAL LIMITED	RO	Dealing in securities	2011-06-02	2013-06-03
JS CRESVALE CAPITAL LIMITED	Rep	Asset management	2011-05-18	2011-06-02
	Rep	Dealing in securities	2011-05-18	2011-06-02
JS CRESVALE SECURITIES INTERNATIONAL LIMITED	Rep	Dealing in securities	2011-05-18	2011-06-02
GALAXY ASSET MANAGEMENT (H.K.) LIMITED	Rep	Advising on futures contracts	2010-10-05	2011-04-06
	Rep	Advising on securities	2010-10-05	2011-04-06
	Rep	Asset management	2010-10-05	2011-04-06
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2007-09-05	2009-10-16
MIZUHO SECURITIES ASIA LIMITED	Rep	Dealing in securities	2006-04-18	2007-08-13
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2005-06-21	2006-03-01
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2004-03-01	2006-03-01
Credit Agricole Securities (Asia) Limited	Rep	Advising on corporate finance	2003-04-01	2003-05-31
	Rep	Advising on securities	2003-04-01	2003-05-31
	Rep	Asset management	2003-04-01	2003-05-31
	Rep	Dealing in securities	2003-04-01	2003-05-31
RBS Asia Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2003-04-01	2003-05-31
	Rep	Advising on securities	2003-04-01	2003-05-31
	Rep	Asset management	2003-04-01	2003-05-31
	Rep	Dealing in securities	2003-04-01	2003-05-31