Personnel Hong Kong SFC License Details (ID 95302)

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
AEM ASSET MANAGEMENT LIMITED	RO	Asset management	2025-05-02	2026-06-30
AEM INVESTMENT SERVICES LIMITED	RO	Advising on securities	2025-05-02	-
	RO	Dealing in securities	2025-05-02	-
AEM ASSET MANAGEMENT LIMITED	Rep	Asset management	2025-04-28	2025-05-02
AEM INVESTMENT SERVICES LIMITED	Rep	Advising on securities	2025-04-28	2025-05-02
	Rep	Dealing in securities	2025-04-28	2025-05-02
Ark Securities (Hong Kong) Limited	RO	Advising on securities	2024-11-14	2025-03-24
	RO	Asset management	2024-11-14	2025-03-24
	RO	Dealing in securities	2024-11-14	2025-03-24
	Rep	Advising on securities	2020-06-24	2024-11-14
	Rep	Asset management	2020-06-24	2024-11-14
	Rep	Dealing in securities	2020-06-24	2024-11-14
Lion Global Financial Limited	Rep	Advising on securities	2019-03-22	2020-06-03
	Rep	Asset management	2019-03-06	2020-06-03
	Rep	Dealing in securities	2019-03-06	2020-06-03
Hao Tian Asset Management Limited	Rep	Asset management	2018-06-11	2019-02-26
Hao Tian International Securities Limited	Rep	Dealing in securities	2018-05-18	2019-02-26
KGI ASIA LIMITED	Rep	Dealing in securities	2017-10-03	2018-05-13
	Rep	Dealing in securities	2017-04-25	2017-10-02
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2015-02-17	2017-04-22
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2013-08-09	2015-01-24
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2013-06-11	2013-08-01
Success Securities Limited	Rep	Dealing in securities	2010-07-23	2013-05-17
EMPEROR SECURITIES LIMITED (HK)	Rep	Dealing in securities	2007-10-17	2010-06-18