Personnel SFC Licences and HKMA Registrations (ID 97789)

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
SHIXIANG CAPITAL MANAGEMENT LIMITED	RO	Advising on securities	2022-11-17	-
	RO	Asset management	2022-11-17	-
Wealthy Securities Limited	Rep	Dealing in securities	2021-02-09	2022-04-01
	RO	Advising on securities	2020-12-14	2022-04-01
	RO	Asset management	2020-12-14	2022-04-01
	Rep	Advising on securities	2020-10-06	2020-12-14
	Rep	Asset management	2020-10-06	2020-12-14
Meta Elephant Capital Limited	RO	Advising on securities	2018-08-03	2020-09-30
	RO	Asset management	2018-08-03	2020-09-30
Annum Asset Management (Hong Kong) Limited	Rep	Advising on futures contracts	2017-05-23	2018-07-31
	RO	Advising on securities	2017-02-20	2018-07-31
	RO	Asset management	2017-02-20	2018-07-31
GLENWORTH CAPITAL LIMITED	RO	Advising on securities	2015-07-31	2017-01-02
	RO	Asset management	2015-07-31	2017-01-02
	Rep	Advising on securities	2015-02-27	2015-07-31
	Rep	Asset management	2015-02-27	2015-07-31
VC BROKERAGE LIMITED	Rep	Advising on securities	2003-04-24	2011-12-29

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.