Personnel Hong Kong SFC License Details (ID 88497)

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
MACROWATERS ASIA FUND MANAGEMENT LIMITED	RO	Asset management	2021-01-26	2021-03-31
	Rep	Asset management	2020-12-08	2021-01-26
Avenue Asset Management Limited (HK)	Rep	Advising on securities	2020-04-14	2020-09-18
	Rep	Asset management	2020-04-14	2020-09-18
Avenue Family Office Limited	Rep	Advising on securities	2020-04-14	2020-09-18
	Rep	Asset management	2020-04-14	2020-09-18
	Rep	Dealing in securities	2020-04-14	2020-09-18
AVENUE INVESTMENT MANAGEMENT LIMITED	Rep	Advising on securities	2020-04-14	2020-09-18
	Rep	Asset management	2020-04-14	2020-09-18
	Rep	Dealing in securities	2020-04-14	2020-09-18
TOKAI TOKYO SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2016-08-19	2019-08-02
	Rep	Dealing in futures contracts	2016-08-19	2019-08-02
	Rep	Dealing in securities	2016-06-24	2019-08-02
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2015-10-05	2016-01-22
Morgan Stanley Hong Kong Securities Limited	Rep	Providing automated trading services	2013-07-24	2014-09-05
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2012-09-05	2013-07-24
	Rep	Dealing in securities	2012-09-05	2014-09-05
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2012-09-05	2014-09-05
	Rep	Dealing in securities	2012-09-05	2014-09-05
MUFG Securities Asia Limited	Rep	Dealing in futures contracts	2010-12-31	2012-07-04
	Rep	Dealing in securities	2010-12-31	2012-07-04
MUSHK Limited	Rep	Dealing in futures contracts	2008-05-28	2010-12-30
	Rep	Dealing in securities	2008-05-28	2010-12-30
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2007-08-17	2008-05-24
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2007-08-17	2008-05-24
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2006-12-29	2007-07-08
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2006-12-29	2007-07-08