Personnel Hong Kong SFC License Details (ID 89474)

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
Quantum Nexus Securities Limited	RO	Dealing in securities	2026-06-26	2026-08-31
HEXFLOW ASSET MANGEMENT LIMITED	RO	Advising on securities	2026-06-22	2026-08-31
	RO	Asset management	2026-06-22	2026-08-31
Beevest Fortune Asset Management Limited	RO	Advising on securities	2021-10-20	2021-12-30
	RO	Asset management	2021-10-20	2021-12-30
PIXIU ASSET MANAGEMENT LIMITED (TRADING AS APX FORTUNA)	RO	Advising on securities	2020-11-17	2021-07-31
	RO	Asset management	2020-11-17	2021-07-31
	Rep	Advising on securities	2020-09-08	2020-11-17
	Rep	Asset management	2020-09-08	2020-11-17
Greenland (Asia) Securities Co., Limited	RO	Advising on securities	2018-03-15	2020-05-29
	RO	Asset management	2018-03-15	2020-05-29
	Rep	Advising on securities	2018-03-06	2018-03-15
	Rep	Asset management	2018-03-06	2018-03-15
ROYAL MORGAN FUND MANAGEMENT CO. LIMITED	RO	Advising on securities	2017-09-27	2018-02-28
	RO	Asset management	2017-09-27	2018-02-28
	RO	Dealing in securities	2017-09-27	2018-02-28
UBS Asset Management (Hong Kong) Limited	Rep	Advising on securities	2015-01-07	2016-05-25
	Rep	Dealing in securities	2015-01-07	2016-05-25
Anbang Asset Management (Hong Kong) Co. Limited	Rep	Advising on securities	2014-09-23	2014-10-22
	Rep	Asset management	2014-09-23	2014-10-22
	Rep	Dealing in securities	2014-09-23	2014-10-22
ADMIRAL INVESTMENT LIMITED	Rep	Advising on securities	2013-11-08	2014-09-01
	Rep	Asset management	2013-11-08	2014-09-01
	Rep	Dealing in securities	2013-11-08	2014-09-01
Morgan Stanley Asia Limited	Rep	Advising on securities	2011-08-05	2012-04-27
	Rep	Dealing in securities	2011-08-05	2012-04-27
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2011-05-04	2011-05-31
	Rep	Advising on securities	2011-05-04	2011-05-31
	Rep	Dealing in securities	2011-05-04	2011-05-31
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on securities	2007-05-15	2009-01-15
	Rep	Advising on corporate finance	2007-01-04	2009-01-15
	Rep	Dealing in securities	2007-01-04	2009-01-15