Personnel Hong Kong SFC License Details (ID 90244)

Personnel Hong Kong SFC License Details (ID 90244)

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
Treeline Asset Management Limited	RO	Advising on securities	2025-05-20	-
	RO	Asset management	2025-05-20	-
Keptain Securities and Asset Management Limited	RO	Advising on securities	2020-08-03	2024-04-17
	RO	Dealing in securities	2019-08-14	2022-08-31
	RO	Asset management	2019-08-14	2024-04-17
313 CAPITAL MANAGEMENT LIMITED 313	RO	Asset management	2018-08-01	2019-06-04
	Rep	Asset management	2018-06-20	2018-08-01
Rockflow Securities Limited	RO	Asset management	2017-11-10	2018-05-18
	RO	Dealing in securities	2017-11-10	2018-05-18
FORMAX ASSET MANAGEMENT LIMITED	Rep	Asset management	2014-12-10	2015-05-28
FORMAX SECURITIES LIMITED	Rep	Dealing in securities	2014-12-10	2015-05-28
Lion Global Financial Limited	RO	Dealing in securities	2012-09-18	2014-04-11
	Rep	Dealing in securities	2009-03-26	2012-09-18
	Rep	Advising on securities	2005-12-13	2012-01-04
	Rep	Asset management	2005-12-13	2014-04-11
PACIFIC WORLD ASSET MANAGEMENT LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-02-11
	Rep	Advising on securities	2003-04-01	2005-12-01
	Rep	Asset management	2003-04-01	2005-12-01