Personnel Hong Kong SFC License Details (ID 96692)

Personnel Hong Kong SFC License Details (ID 96692)

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
SIMPLEX ASSET MANAGEMENT (HK) COMPANY LIMITED	Rep	Advising on securities	2025-10-20	-
	RO	Asset management	2019-07-03	-
	Rep	Asset management	2019-04-17	2019-07-03
KOALA CAPITAL MANAGEMENT LIMITED	RO	Asset management	2017-10-03	2019-01-11
AP Asset Management (HK) Limited	RO	Asset management	2014-08-07	2016-11-19
	RO	Dealing in securities	2014-08-07	2016-11-19
	Rep	Asset management	2014-03-24	2014-08-07
	Rep	Dealing in securities	2014-03-24	2014-08-07
SILVERHORN INVESTMENT ADVISORS LIMITED	Rep	Advising on securities	2014-02-11	2014-03-11
	Rep	Asset management	2014-02-11	2014-03-11
	Rep	Dealing in securities	2014-02-11	2014-03-11
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2012-07-25	2013-01-24
	Rep	Dealing in securities	2012-07-25	2013-01-24
UBS Asset Management (Hong Kong) Limited	RO	Advising on securities	2006-01-18	2012-04-03
	RO	Asset management	2006-01-18	2012-04-03
	Rep	Advising on securities	2005-12-09	2006-01-18
	Rep	Asset management	2005-12-09	2006-01-18