Personnel SFC Licences and HKMA Registrations (ID 93317)

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
QUAM ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2026-09-16	-
	Rep	Dealing in securities	2026-09-16	-
RED SUN CAPITAL LIMITED	Rep	Advising on corporate finance	2021-08-10	2022-10-07
	Rep	Dealing in securities	2021-08-10	2022-10-07
Templewater Hong Kong Limited	RO	Advising on corporate finance	2017-04-26	2018-06-30
	RO	Dealing in securities	2017-04-26	2018-06-30
	Rep	Advising on corporate finance	2017-03-03	2017-04-26
	Rep	Dealing in securities	2017-03-03	2017-04-26
Canaccord Genuity (Hong Kong) Limited	RO	Advising on corporate finance	2014-06-25	2016-09-05
	RO	Advising on securities	2014-06-25	2016-09-05
	RO	Dealing in securities	2014-06-25	2016-09-05
	Rep	Advising on securities	2013-05-16	2014-06-25
	Rep	Dealing in securities	2013-05-16	2014-06-25
CGS International Securities Hong Kong Limited	Rep	Advising on corporate finance	2012-07-03	2013-02-07
	Rep	Dealing in securities	2012-07-03	2013-02-07
RBS Asia Corporate Finance Limited	Rep	Advising on corporate finance	2010-08-06	2012-06-30
	Rep	Dealing in securities	2010-08-06	2012-06-30

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.