Personnel Hong Kong SFC License Details (ID 94068)

Personnel Hong Kong SFC License Details (ID 94068)

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
UBS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2022-03-31	-
1020 Capital Management Limited	RO	Asset management	2020-08-25	2022-02-01
THREE STONES CAPITAL LIMITED	RO	Advising on futures contracts	2017-10-09	2019-12-20
	RO	Advising on securities	2017-10-09	2019-12-20
	RO	Asset management	2015-11-11	2019-12-20
Golden Full Asset Management Limited	RO	Advising on securities	2014-10-16	2015-06-22
	RO	Asset management	2014-10-16	2015-06-22
	Rep	Advising on securities	2014-07-08	2014-10-16
	Rep	Asset management	2014-07-08	2014-10-16
SG SECURITIES (HK) LIMITED	Rep	Providing automated trading services	2004-08-20	2012-03-31
	Rep	Dealing in futures contracts	2004-08-20	2012-03-31
	Rep	Dealing in securities	2004-08-20	2012-03-31