Personnel SFC Licences and HKMA Registrations (ID 92918)

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
Audax Management Company (HK) Limited	RO	Dealing in securities	2025-08-06	-
Boswell Capital Management Limited	RO	Asset management	2022-01-28	2025-08-01
EAST CAPITAL ASIA LIMITED	RO	Advising on securities	2015-05-13	2020-04-30
	RO	Asset management	2015-05-13	2020-04-30
	RO	Dealing in securities	2015-05-13	2020-04-30
Hodes Weill Asia Limited	RO	Dealing in securities	2012-08-31	2015-05-08
QUAM ASSET MANAGEMENT LIMITED	RO	Advising on securities	2010-11-16	2012-01-07
	RO	Asset management	2010-11-16	2012-01-07
	Rep	Advising on securities	2010-09-28	2010-11-16
	Rep	Asset management	2010-09-28	2010-11-16
Quam Securities Limited	Rep	Dealing in securities	2010-09-28	2012-01-07
China Enterprise Securities Company Limited	RO	Advising on securities	2009-02-05	2010-08-31
	RO	Asset management	2009-02-05	2010-08-31
	Rep	Advising on securities	2009-01-01	2009-02-05
	Rep	Asset management	2009-01-01	2009-02-05
Grace Financial Limited (HK)	RO	Asset management	2008-08-05	2008-11-30
	RO	Advising on securities	2008-07-15	2008-11-30
	Rep	Advising on securities	2008-06-16	2008-07-15
	Rep	Asset management	2008-06-16	2008-08-05

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.