Personnel Hong Kong SFC License Details (ID 98551)

Personnel Hong Kong SFC License Details (ID 98551)

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
Rifa Futures Limited	Rep	Dealing in futures contracts	2014-08-05	2018-11-30
Rifa Securities Limited	Rep	Dealing in securities	2014-08-05	2018-11-30
TFI Asset Management Limited	Rep	Advising on securities	2014-08-05	2016-09-27
	Rep	Asset management	2014-08-05	2016-09-27
MAINLAND SECURITIES LIMITED	Rep	Dealing in securities	2014-04-09	2014-06-26
Quam Securities Limited	Rep	Dealing in futures contracts	2014-01-21	2014-02-10
	Rep	Advising on securities	2011-11-07	2014-02-10
	Rep	Asset management	2011-11-07	2014-02-10
	Rep	Dealing in securities	2011-11-07	2014-02-10
ATHENA WEALTH MANAGEMENT LIMITED	Rep	Advising on securities	2011-01-21	2011-10-07
	Rep	Asset management	2011-01-21	2011-10-07
	Rep	Dealing in securities	2011-01-21	2011-10-07
AXA CHINA REGION INVESTMENT SERVICES LIMITED	Rep	Advising on securities	2008-01-09	2010-03-02