Personnel Hong Kong SFC License Details (ID 93617)

Personnel Hong Kong SFC License Details (ID 93617)

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
Direction Capital Limited	RO	Advising on securities	2020-05-08	-
	RO	Asset management	2020-05-08	-
UCF Asset Management (HK) Limited	RO	Advising on securities	2012-05-04	2018-11-30
	RO	Asset management	2012-05-04	2018-11-30
CNCB (Hong Kong) Capital Limited	RO	Advising on securities	2011-12-23	2012-01-04
	RO	Asset management	2011-08-25	2012-01-04
ICBC INTERNATIONAL FUND MANAGEMENT LIMITED	RO	Dealing in securities	2011-01-24	2011-06-27
	RO	Advising on securities	2010-09-20	2011-06-27
	RO	Asset management	2010-09-20	2011-06-27
ICBC INTERNATIONAL ASSET MANAGEMENT LIMITED	RO	Advising on securities	2010-07-16	2011-06-27
	RO	Asset management	2010-07-16	2011-06-27
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Advising on securities	2009-02-26	2010-07-11
	RO	Asset management	2009-02-26	2010-07-11
	Rep	Advising on securities	2008-09-17	2009-02-26
	Rep	Asset management	2008-09-17	2009-02-26
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2007-01-08	2007-10-19
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2007-01-08	2007-10-19