Personnel Hong Kong SFC License Details (ID 92295)

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
FUHAI SECURITIES LIMITED	RO	Dealing in securities	2022-07-28	2024-08-02
	RO	Dealing in securities	2021-11-24	2021-12-09
	RO	Advising on securities	2018-12-27	-
	RO	Asset management	2018-12-27	-
MASON INVESTMENT MANAGEMENT LIMITED	RO	Advising on securities	2016-12-22	2018-07-31
	RO	Asset management	2016-12-22	2018-07-31
Mason Securities Limited	RO	Asset management	2016-12-22	2018-07-31
THOMAS GLOBAL FINANCIAL SERVICES LIMITED	RO	Dealing in securities	2016-12-12	2018-07-31
Mason Securities Limited	RO	Advising on securities	2016-09-29	2018-02-09
	RO	Dealing in securities	2016-09-29	2018-02-09
ZHONG ZHENG INTERNATIONAL FUTURES LIMITED	RO	Dealing in futures contracts	2016-09-29	2018-07-31
Mason Securities Limited	Rep	Advising on securities	2016-08-12	2016-09-29
	Rep	Dealing in securities	2016-08-12	2016-09-29
ZHONG ZHENG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2016-08-12	2016-09-29
Quam Securities Limited	RO	Advising on securities	2016-02-26	2016-05-15
	RO	Dealing in futures contracts	2016-02-26	2016-05-15
	RO	Dealing in securities	2016-02-26	2016-05-15
	Rep	Advising on securities	2016-01-11	2016-02-26
	Rep	Dealing in futures contracts	2016-01-11	2016-02-26
	Rep	Dealing in securities	2016-01-11	2016-02-26
PIPER JAFFRAY ASIA FUTURES LIMITED	Rep	Dealing in futures contracts	2008-09-04	2012-09-07
PIPER JAFFRAY ASIA SECURITIES LIMITED	RO	Dealing in securities	2008-09-04	2012-09-07
	Rep	Dealing in securities	2008-07-14	2008-09-04
WINWIN SECURITIES LIMITED	Rep	Dealing in securities	2008-06-12	2008-06-26
Credit Suisse (Hong Kong) Limited	Rep	Dealing in securities	2005-04-14	2008-04-22
Credit Suisse Securities (Hong Kong) Limited	Rep	Providing automated trading services	2003-04-01	2003-08-22
	Rep	Advising on corporate finance	2003-04-01	2005-02-15
	Rep	Advising on securities	2003-04-01	2005-02-15
	Rep	Asset management	2003-04-01	2005-02-15
	Rep	Dealing in securities	2003-04-01	2008-04-22