Personnel Hong Kong SFC License Details (ID 98620)

Personnel Hong Kong SFC License Details (ID 98620)

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
Goldstream Securities Limited	RO	Dealing in securities	2017-03-06	2025-12-18
Goldstream Capital Management Limited	Rep	Advising on securities	2017-03-01	2025-12-18
	Rep	Asset management	2017-03-01	2025-12-18
	RO	Advising on securities	2014-04-25	2017-03-01
	RO	Asset management	2014-04-25	2017-03-01
ABOUT CAPITAL MANAGEMENT (HK) CO. LTD	RO	Asset management	2013-09-24	2014-02-24
BOND TRUST LIMITED	RO	Advising on securities	2010-08-18	2013-09-09
	RO	Asset management	2010-08-18	2013-09-09
	RO	Dealing in securities	2010-08-18	2013-09-09
Morgan Stanley Asia Limited	Rep	Dealing in securities	2005-07-15	2006-03-01
Morgan Stanley Hong Kong Futures Limited	Rep	Dealing in futures contracts	2005-07-15	2006-03-01
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2004-09-28	2005-06-16
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2004-09-28	2005-06-16
FT Securities Limited	Rep	Dealing in securities	2003-09-18	2004-08-26
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2003-09-18	2004-08-26