Personnel Hong Kong SFC License Details (ID 93088)

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
Almagest AM Co. Limited	RO	Advising on securities	2025-08-08	2026-09-10
	RO	Asset management	2025-08-08	2026-09-10
Funde Securities Limited	RO	Dealing in securities	2022-11-16	2024-09-27
	RO	Advising on securities	2021-11-03	2024-09-27
Funde Investment Management Limited	RO	Asset management	2019-04-25	2024-09-27
Innov Harbor Asset Management Limited	RO	Advising on securities	2018-10-24	2018-12-07
	RO	Asset management	2018-10-24	2018-12-07
Funde Securities Limited	Rep	Dealing in securities	2017-03-31	2022-11-16
Innov Harbor Asset Management Limited	Rep	Advising on securities	2017-03-31	2018-10-24
	Rep	Asset management	2017-03-31	2018-10-24
CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED	Rep	Advising on securities	2015-04-08	2017-02-08
	Rep	Dealing in securities	2015-04-08	2017-02-08
CHINA INDUSTRIAL SECURITIES INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2015-04-08	2017-02-08
Quam Securities Limited	Rep	Asset management	2012-11-09	2015-04-01
	Rep	Advising on securities	2012-09-06	2015-04-01
	Rep	Dealing in futures contracts	2011-04-15	2015-04-01
	Rep	Dealing in securities	2011-04-15	2015-04-01
Nerico Brothers Limited (HK)	Rep	Dealing in futures contracts	2009-10-08	2011-04-01
	Rep	Dealing in securities	2009-10-08	2011-04-01
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2007-08-31	2009-10-01
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2007-08-31	2009-10-01
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2007-02-08	2007-06-23
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2007-02-08	2007-06-23