Personnel Hong Kong SFC License Details (ID 92668)

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
China Asset Management (Hong Kong) Limited	RO	Advising on securities	2024-04-05	-
	RO	Asset management	2024-04-05	-
	Rep	Advising on securities	2024-03-25	2024-04-05
	Rep	Asset management	2024-03-25	2024-04-05
Pando Finance Limited	RO	Dealing in securities	2023-10-09	2024-03-03
	RO	Advising on securities	2023-09-01	2024-03-03
	RO	Asset management	2023-09-01	2024-03-03
	Rep	Dealing in securities	2023-06-19	2023-10-09
	Rep	Advising on securities	2023-04-24	2023-09-01
	Rep	Asset management	2023-04-24	2023-09-01
CMS ASSET MANAGEMENT (HK) CO., LIMITED	RO	Advising on securities	2021-04-30	2023-04-21
	RO	Asset management	2021-04-30	2023-04-21
	Rep	Advising on securities	2021-02-09	2021-04-30
	Rep	Asset management	2021-02-09	2021-04-30
FOUNDER ASSET MANAGEMENT (HONG KONG) LIMITED	RO	Advising on securities	2019-12-06	2021-02-08
	RO	Asset management	2019-12-06	2021-02-08
SILVER NILE GLOBAL INVESTMENTS LIMITED	RO	Advising on securities	2019-07-10	2019-11-27
	RO	Asset management	2019-07-10	2019-11-27
	RO	Dealing in securities	2019-07-10	2019-11-27
	Rep	Asset management	2019-06-13	2019-07-10
SKYVAST ASSET MANAGEMENT LIMITED	RO	Asset management	2019-04-04	2019-05-31
	Rep	Asset management	2019-03-27	2019-04-04
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	RO	Asset management	2016-09-29	2019-03-14
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	RO	Advising on securities	2016-09-29	2019-03-14
	RO	Dealing in securities	2016-09-29	2019-03-14
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	Rep	Asset management	2016-07-26	2016-09-29
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Advising on securities	2016-07-26	2016-09-29
	Rep	Dealing in securities	2016-07-26	2016-09-29
Anbang Asset Management (Hong Kong) Co. Limited	RO	Advising on securities	2015-06-23	2016-06-29
	RO	Asset management	2015-06-23	2016-06-29
	RO	Dealing in securities	2015-06-23	2016-06-29
	Rep	Advising on securities	2014-04-23	2015-06-23
	Rep	Dealing in securities	2014-04-23	2015-06-23
	Rep	Asset management	2013-12-24	2015-06-23
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	Rep	Advising on securities	2009-08-31	2013-12-06
	Rep	Asset management	2009-08-31	2013-12-06
PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED	Rep	Advising on securities	2007-02-28	2009-08-31
	Rep	Asset management	2007-02-28	2009-08-31
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	Rep	Advising on securities	2007-02-28	2008-01-18
	Rep	Asset management	2007-02-28	2008-01-18