Personnel Hong Kong SFC License Details (ID 91254)

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
SAIL ADVISORS LIMITED	RO	Advising on securities	2024-02-16	-
	RO	Asset management	2024-02-16	-
OnePlatform Asset Management Limited	RO	Advising on securities	2022-09-08	2024-01-23
	RO	Asset management	2022-09-08	2024-01-23
	RO	Dealing in securities	2022-09-08	2024-01-23
	Rep	Advising on securities	2022-09-07	2022-09-08
	Rep	Asset management	2022-09-07	2022-09-08
	Rep	Dealing in securities	2022-09-07	2022-09-08
MARSH INVESTMENT SOLUTIONS (HK) LIMITED	Rep	Advising on securities	2018-08-02	2019-02-28
	Rep	Dealing in securities	2018-08-02	2019-02-28
	RO	Asset management	2017-07-31	2019-02-28
	RO	Advising on securities	2016-10-13	2018-08-02
	RO	Dealing in securities	2016-10-13	2018-08-02
	Rep	Advising on securities	2016-09-09	2016-10-13
	Rep	Dealing in securities	2016-09-09	2016-10-13
PHILIPPA HUCKLE GROUP LIMITED, THE (TRADING AS ARIA FORUM WEALTH MANAGEMENT)	RO	Asset management	2013-12-20	2016-08-06
	Rep	Asset management	2013-11-21	2013-12-20
	Rep	Advising on securities	2013-11-21	2016-08-06
	Rep	Dealing in securities	2013-11-21	2016-08-06
oOo Securities (HK) Group Limited	Rep	Advising on securities	2012-05-28	2013-10-16
	RO	Asset management	2012-05-28	2013-10-16
	Rep	Dealing in securities	2012-05-28	2013-10-16
RHB ASSET MANAGEMENT LIMITED	RO	Advising on securities	2011-09-14	2012-02-19
	RO	Asset management	2011-09-14	2012-02-19
	RO	Dealing in securities	2011-09-14	2012-02-19
	Rep	Dealing in securities	2011-01-17	2011-09-14
	Rep	Advising on securities	2010-04-30	2011-09-14
	Rep	Asset management	2010-04-30	2011-09-14
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2005-12-20	2009-06-03
LIM ADVISORS LIMITED	Rep	Advising on corporate finance	2003-04-01	2005-03-03
	Rep	Advising on futures contracts	2003-04-01	2005-10-25
	Rep	Advising on securities	2003-04-01	2005-10-25
	Rep	Asset management	2003-04-01	2005-10-25