Personnel Hong Kong SFC License Details (ID 91145)

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
Prudence Investment Management (Hong Kong) Limited	RO	Dealing in securities	2020-10-21	2021-03-31
Fangyuan Capital (Hong Kong) Limited	RO	Advising on securities	2020-07-09	-
	RO	Asset management	2020-07-09	-
SHENWAN HONGYUAN ASSET MANAGEMENT (ASIA) LIMITED	RO	Advising on securities	2016-08-17	2020-02-12
	RO	Asset management	2016-08-17	2020-02-12
	Rep	Advising on securities	2016-04-18	2016-08-17
	Rep	Asset management	2016-04-18	2016-08-17
Grey Investment Limited	Rep	Advising on securities	2014-08-26	2016-03-31
	Rep	Asset management	2014-08-26	2016-03-31
ORIENTAL PATRON ASIA LIMITED	RO	Asset management	2009-05-29	2014-05-31
ORIENTAL PATRON SECURITIES LIMITED	RO	Advising on securities	2009-05-29	2014-05-31
	RO	Dealing in securities	2009-05-29	2014-05-31
ORIENTAL PATRON ASIA LIMITED	Rep	Asset management	2009-04-08	2009-05-29
ORIENTAL PATRON SECURITIES LIMITED	Rep	Advising on securities	2009-04-08	2009-05-29
	Rep	Dealing in securities	2009-04-08	2009-05-29
SBI China Capital Financial Services Limited	RO	Advising on securities	2008-09-19	2009-02-28
	RO	Asset management	2008-09-19	2009-02-28
	RO	Dealing in securities	2008-09-19	2009-02-28
SBI China Capital Securities Limited	RO	Advising on securities	2007-03-13	2009-02-28
	RO	Asset management	2007-03-13	2009-02-28
	RO	Dealing in securities	2007-03-13	2009-02-28
SBI China Capital Commodities Limited	Rep	Dealing in futures contracts	2006-04-18	2009-02-28
SBI China Capital Securities Limited	Rep	Dealing in securities	2006-04-18	2007-03-13
Tung Shing Futures (Brokers) Limited	Rep	Dealing in futures contracts	2004-04-28	2006-04-10
	Rep	Dealing in futures contracts	2003-06-24	2004-02-24
Tung Shing Securities (Brokers) Limited	Rep	Providing automated trading services	2003-06-24	2003-11-07
	Rep	Advising on corporate finance	2003-04-01	2003-05-12
	Rep	Advising on securities	2003-04-01	2003-05-12
	Rep	Asset management	2003-04-01	2003-05-12
	Rep	Dealing in securities	2003-04-01	2006-04-10