Personnel Hong Kong SFC License Details (ID 97282)

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
Delight Hong Kong Asset Management Limited	RO	Advising on securities	2024-09-11	-
	RO	Asset management	2024-09-11	-
Holly International Financial Holdings Limited	RO	Dealing in securities	2022-08-22	2023-08-31
Holly International Asset Management Company Limited	Rep	Advising on securities	2022-03-30	2023-08-31
	Rep	Asset management	2022-03-30	2023-08-31
Holly International Financial Holdings Limited	Rep	Dealing in securities	2022-03-30	2022-08-22
UCAP Securities (HK) Limited	RO	Advising on securities	2020-08-05	2021-09-30
	RO	Asset management	2020-08-05	2021-09-30
	RO	Dealing in securities	2020-08-05	2021-09-30
MAINLAND ASSET MANAGEMENT LIMITED	RO	Advising on securities	2019-09-03	2020-03-04
	RO	Asset management	2019-09-03	2020-03-04
MAINLAND SECURITIES LIMITED	RO	Dealing in securities	2018-11-28	2020-03-04
	Rep	Dealing in securities	2018-11-06	2018-11-28
Bluemount Asset Management Limited	RO	Asset management	2018-04-16	2018-10-31
Bluemount Securities Limited	Rep	Advising on securities	2018-04-16	2018-10-31
	Rep	Dealing in securities	2018-04-16	2018-10-31
AIF Securities Limited	RO	Advising on futures contracts	2017-07-31	2017-10-17
	RO	Dealing in futures contracts	2017-07-31	2017-10-17
	RO	Dealing in securities	2016-12-05	2017-10-17
Amber Hill Asset Management Limited	RO	Advising on securities	2016-12-05	2017-10-17
	RO	Asset management	2016-12-05	2017-10-17
PC SECURITIES LIMITED	RO	Advising on securities	2016-07-06	2016-11-15
	RO	Asset management	2016-07-06	2016-11-15
	RO	Dealing in securities	2015-12-07	2016-11-15
Seazen Resources Asset Management Limited	RO	Advising on securities	2014-12-29	2015-11-06
	RO	Asset management	2014-12-29	2015-11-06
	RO	Dealing in securities	2014-12-29	2015-11-06
MFG Limited (HK)	RO	Advising on futures contracts	2012-11-12	2014-01-02
	RO	Advising on securities	2012-11-12	2014-01-02
	RO	Dealing in futures contracts	2012-11-12	2014-01-02
	RO	Dealing in securities	2012-11-12	2014-01-02
	Rep	Advising on futures contracts	2012-10-08	2012-11-12
	Rep	Advising on securities	2012-10-08	2012-11-12
	Rep	Dealing in futures contracts	2012-10-08	2012-11-12
	Rep	Dealing in securities	2012-10-08	2012-11-12
	Rep	Asset management	2012-10-08	2014-01-02
XinKong International Securities Limited	RO	Advising on securities	2011-09-12	2012-09-06
	RO	Dealing in futures contracts	2011-09-12	2012-09-06
MIB FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2006-06-30	2009-12-01
MIB SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2005-12-29	2009-12-01
OPEN ASSET MANAGEMENT LIMITED	RO	Advising on securities	2005-02-07	2005-12-05
Open Securities Limited	RO	Advising on corporate finance	2005-02-07	2005-12-05
	RO	Advising on securities	2005-02-07	2005-12-05
	RO	Asset management	2005-02-07	2005-12-05
	RO	Dealing in securities	2005-02-07	2005-12-05
	Rep	Advising on securities	2004-12-03	2005-02-07
	Rep	Asset management	2004-12-03	2005-02-07
	Rep	Dealing in securities	2004-12-03	2005-02-07
Beijing Securities Limited	RO	Advising on securities	2004-06-24	2004-12-03
	RO	Asset management	2004-06-24	2004-12-03
	RO	Dealing in securities	2004-06-24	2004-12-03
	Rep	Advising on securities	2004-05-13	2004-06-24
	Rep	Asset management	2004-05-13	2004-06-24
	Rep	Dealing in securities	2004-05-13	2004-06-24
OPEN ASSET MANAGEMENT LIMITED	RO	Advising on securities	2003-12-08	2004-05-09
Open Securities Limited	RO	Asset management	2003-12-08	2004-05-09
	RO	Dealing in securities	2003-12-08	2004-05-09
FUHWA SECURITIES (HONG KONG) CO., LIMITED	RO	Dealing in securities	2003-04-01	2003-09-22