Personnel Hong Kong SFC License Details (ID 97858)

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
KR Securities (Hong Kong) Limited	RO	Advising on securities	2025-12-18	-
	RO	Asset management	2025-12-18	-
Everpine Asset Management Limited	RO	Advising on securities	2023-12-04	2025-11-25
	RO	Asset management	2023-12-04	2025-11-25
CHINA RAILWAY &AMP; AVIATION SECURITIES LIMITED	RO	Advising on securities	2019-09-03	2023-11-30
	RO	Asset management	2019-09-03	2023-11-30
	RO	Dealing in securities	2019-09-03	2023-11-30
	Rep	Advising on securities	2019-08-20	2019-09-03
	Rep	Asset management	2019-08-20	2019-09-03
	Rep	Dealing in securities	2019-08-20	2019-09-03
RISING GLORY FINANCE LIMITED	RO	Advising on securities	2018-11-30	2019-08-15
	RO	Asset management	2017-06-27	2019-08-15
CACHET ASSET MANAGEMENT LIMITED	RO	Advising on securities	2015-01-13	2017-06-15
	RO	Asset management	2015-01-13	2017-06-15
	RO	Dealing in securities	2015-01-13	2017-06-15
JAKOTA SECURITIES GROUP LIMITED	Rep	Dealing in securities	2012-11-14	2015-01-09
VISION FINANCE INTERNATIONAL COMPANY LIMITED	Rep	Advising on corporate finance	2010-03-17	2011-10-14
SIRIUS CAPITAL PARTNERS PRIVATE LIMITED	Rep	Advising on corporate finance	2009-05-13	2010-02-26
	Rep	Advising on securities	2009-05-13	2010-02-26
	Rep	Dealing in securities	2009-04-20	2009-06-01
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	2003-04-01	2004-02-11
	Rep	Advising on securities	2003-04-01	2004-02-11
	Rep	Providing automated trading services	2003-04-01	2009-03-23
	Rep	Dealing in securities	2003-04-01	2009-03-23
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2003-04-01	2009-03-23
	Rep	Dealing in futures contracts	2003-04-01	2009-03-23