Personnel Hong Kong SFC License Details (ID 9615234)

Personnel Hong Kong SFC License Details (ID 9615234)

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
CAPITAL FOCUS ASSET MANAGEMENT LIMITED	RO	Advising on securities	2026-06-25	-
	RO	Asset management	2026-06-25	-
CHINA FINANCIAL INTERNATIONAL INVESTMENTS &AMP; MANAGEMENTS LIMITED	RO	Asset management	2026-06-25	-
CAPITAL FOCUS ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2026-06-05	2026-06-25
	Rep	Asset management	2026-06-05	2026-06-25
CHINA FINANCIAL INTERNATIONAL INVESTMENTS &AMP; MANAGEMENTS LIMITED	Rep	Asset management	2026-06-05	2026-06-25
Axis Capital Management Limited	RO	Advising on securities	2024-02-19	2025-11-16
	RO	Asset management	2024-02-19	2025-11-16
	Rep	Advising on securities	2024-01-23	2024-02-19
	Rep	Asset management	2024-01-23	2024-02-19
Direction Capital Limited	RO	Advising on securities	2023-01-10	2023-09-08
	RO	Asset management	2023-01-10	2023-09-08
	Rep	Advising on securities	2022-11-17	2023-01-10
	Rep	Asset management	2022-11-17	2023-01-10
Axis Capital Management Limited	RO	Advising on securities	2021-05-26	2022-10-31
	RO	Asset management	2021-05-26	2022-10-31
	Rep	Asset management	2018-08-31	2021-05-26
XinKong International Asset Management Limited	Rep	Asset management	2017-05-05	2018-02-28