Personnel Hong Kong SFC License Details (ID 93620)

Personnel Hong Kong SFC License Details (ID 93620)

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
For Wise (HK) Limited	RO	Advising on securities	2026-05-13	-
	RO	Asset management	2026-05-13	-
Duo Asset Management Limited	RO	Advising on securities	2018-11-13	2025-05-12
	RO	Asset management	2017-04-06	2025-05-12
CMBC SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2016-09-02	2017-03-21
CMBC ASSET MANAGEMENT COMPANY LIMITED	RO	Asset management	2015-12-11	2017-03-21
China Hong Kong Capital Asset Management Company Limited	RO	Asset management	2015-06-12	2015-08-13
	Rep	Asset management	2015-05-19	2015-06-12
	Rep	Dealing in securities	2015-05-19	2015-08-13
SBI China Capital Asset Management Limited	RO	Asset management	2014-09-17	2015-03-31
	Rep	Asset management	2014-09-02	2014-09-17
CNCB (Hong Kong) Capital Limited	RO	Asset management	2013-08-07	2014-07-31
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2012-06-06	2012-08-11
CNCB (Hong Kong) Capital Limited	Rep	Asset management	2011-07-14	2011-12-31
Lion Global Financial Limited	Rep	Dealing in securities	2009-07-14	2010-02-01
	Rep	Advising on securities	2008-05-28	2010-02-01
	Rep	Asset management	2008-05-28	2010-02-01
EAST ASIA SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2007-02-07	2007-04-18