Personnel Hong Kong SFC License Details (ID 92320)

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
Waymaker Asset Management Co. Limited	Rep	Asset management	2020-04-16	2023-03-28
	Rep	Advising on securities	2020-04-02	2022-04-26
CVP Capital Limited (HK)	RO	Advising on corporate finance	2014-10-22	2020-03-06
	RO	Advising on securities	2014-10-22	2020-03-06
	RO	Dealing in securities	2014-10-22	2020-03-06
Anbang Capital (Hong Kong) Co. Limited	RO	Advising on corporate finance	2013-12-06	2014-04-30
	RO	Advising on securities	2013-12-06	2014-04-30
	RO	Dealing in securities	2013-12-06	2014-04-30
UPBEST ASSETS MANAGEMENT LIMITED	RO	Advising on corporate finance	2012-12-27	2013-04-18
UPBEST SECURITIES COMPANY LIMITED	RO	Advising on corporate finance	2012-12-27	2013-04-18
South West Capital Limited (d2013-12-11)	RO	Advising on corporate finance	2012-10-19	2012-11-30
	Rep	Advising on corporate finance	2012-09-03	2012-10-19
PIPER JAFFRAY ASIA LIMITED	Rep	Advising on corporate finance	2010-06-07	2012-08-25
DBS ASIA CAPITAL LIMITED	Rep	Advising on securities	2008-05-15	2010-05-31
	Rep	Advising on corporate finance	2008-04-21	2010-05-31
	Rep	Dealing in securities	2008-04-21	2010-05-31
ABCI Securities Company Limited	Rep	Dealing in securities	2007-06-11	2008-04-12
	Rep	Advising on corporate finance	2007-03-15	2008-04-12
YU MING INVESTMENT MANAGEMENT LIMITED	Rep	Asset management	2005-09-07	2007-02-12
	Rep	Advising on corporate finance	2005-07-15	2007-02-12
	Rep	Advising on securities	2005-07-15	2007-02-12
	Rep	Dealing in securities	2005-07-15	2007-02-12
YUE XIU SECURITIES COMPANY LIMITED	Rep	Advising on corporate finance	2005-02-24	2005-07-08
	Rep	Advising on securities	2005-02-24	2005-07-08
	Rep	Dealing in securities	2005-02-24	2005-07-08