Personnel Hong Kong SFC License Details (ID 88455)

Personnel Hong Kong SFC License Details (ID 88455)

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
WIN FULL INVESTMENT MANAGEMENT GROUP LIMITED	RO	Advising on securities	2021-03-08	-
	RO	Asset management	2021-03-08	-
TAIROS INVESTMENT MANAGEMENT COMPANY LIMITED	RO	Advising on securities	2020-11-26	2021-02-26
	RO	Asset management	2020-11-26	2021-02-26
	Rep	Advising on securities	2020-10-27	2020-11-26
	Rep	Asset management	2020-10-27	2020-11-26
SGI Capital Asset Management Limited	RO	Advising on securities	2018-01-26	2020-04-22
	RO	Asset management	2018-01-26	2020-04-22
	Rep	Advising on securities	2017-12-18	2018-01-26
	Rep	Asset management	2017-12-18	2018-01-26
SP Securities Limited	Rep	Asset management	2017-08-22	2017-12-08
	Rep	Advising on securities	2017-02-16	2017-12-08
	Rep	Dealing in securities	2017-02-16	2017-12-08
VONTOBEL WEALTH MANAGEMENT (HONG KONG) LIMITED	Rep	Advising on securities	2013-03-11	2013-11-29
	Rep	Dealing in securities	2013-03-11	2013-11-29
MUFG Securities Asia Limited	Rep	Dealing in securities	2011-06-07	2011-12-13
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2007-03-22	2008-11-07