Personnel SFC Licences and HKMA Registrations (ID 94867)

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
BUENA VISTA FUND MANAGEMENT (HK) LIMITED	RO	Asset management	2024-12-09	-
	Rep	Asset management	2024-05-31	2024-12-09
HEXA ASSET MANAGEMENT LIMITED	RO	Advising on securities	2019-04-11	2023-09-30
	RO	Asset management	2019-04-11	2023-09-30
	Rep	Advising on securities	2019-01-25	2019-04-11
	Rep	Asset management	2019-01-25	2019-04-11
SOFAER GLOBAL RESEARCH (HK) LIMITED	RO	Advising on securities	2011-08-01	2019-01-15
	RO	Asset management	2011-08-01	2019-01-15
	Rep	Advising on securities	2011-06-21	2011-08-01
	Rep	Asset management	2011-06-21	2011-08-01
RAB CAPITAL (ASIA) LIMITED	RO	Advising on futures contracts	2007-11-23	2010-10-20
	RO	Advising on securities	2007-11-23	2010-10-20
	RO	Asset management	2007-11-23	2010-10-20
	Rep	Advising on futures contracts	2007-10-11	2007-11-23
	Rep	Advising on securities	2007-10-11	2007-11-23
	Rep	Asset management	2007-10-11	2007-11-23
PI INVESTMENT MANAGEMENT LIMITED	RO	Advising on futures contracts	2003-04-01	2007-09-28
	RO	Advising on securities	2003-04-01	2007-09-28
	RO	Asset management	2003-04-01	2007-09-28

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.