Personnel Hong Kong SFC License Details (ID 84816)

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
China Sunrise Securities (International) Limited	Rep	Dealing in securities	2020-04-17	2021-02-23
China Sunrise Asset Management Limited	RO	Advising on securities	2017-07-03	2021-02-23
	RO	Asset management	2017-07-03	2021-02-23
	RO	Dealing in securities	2017-07-03	2021-02-23
Core Pacific - Yamaichi Asset Management Limited	RO	Asset management	2013-12-17	2014-03-13
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	RO	Advising on securities	2013-06-04	2014-03-13
	RO	Dealing in securities	2013-06-04	2014-03-13
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	RO	Dealing in securities	2013-06-04	2014-03-13
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Advising on securities	2013-05-23	2013-06-04
	Rep	Dealing in securities	2013-05-23	2013-06-04
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2013-05-23	2013-06-04
KGI ASIA LIMITED	RO	Advising on securities	2012-03-12	2012-12-07
KGI WEALTH MANAGEMENT LIMITED	RO	Advising on securities	2010-10-27	2012-12-07
KGI ASIA LIMITED	RO	Dealing in securities	2010-07-30	2012-12-07
KGI WEALTH MANAGEMENT LIMITED	RO	Dealing in securities	2010-07-30	2012-12-07
AISANCE ASSET MANAGEMENT LIMITED	RO	Asset management	2010-03-17	2012-12-07
KGI ASIA LIMITED	Rep	Dealing in securities	2010-03-17	2010-07-30
	Rep	Advising on securities	2010-03-17	2012-03-12
KGI WEALTH MANAGEMENT LIMITED	RO	Asset management	2009-05-15	2010-04-01
	Rep	Dealing in securities	2008-11-06	2010-07-30
	Rep	Advising on securities	2008-11-06	2010-10-27
PREFERRED LEGACY CAPITAL LIMITED	Rep	Asset management	2008-07-25	2008-10-13
Lion Global Financial Limited	Rep	Advising on securities	2008-01-29	2008-05-28
JS CRESVALE SECURITIES INTERNATIONAL LIMITED	Rep	Dealing in securities	2006-01-05	2007-09-08