Personnel Hong Kong SFC License Details (ID 98671)

Personnel Hong Kong SFC License Details (ID 98671)

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
CAPE ASSET MANAGEMENT LIMITED	RO	Advising on futures contracts	2006-05-23	2016-12-28
CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED	RO	Advising on futures contracts	2006-05-23	2017-05-12
	RO	Dealing in futures contracts	2006-05-23	2017-05-12
CAPE ASSET MANAGEMENT LIMITED	RO	Advising on corporate finance	2005-06-01	2014-10-15
	RO	Advising on securities	2005-06-01	2016-12-28
	RO	Asset management	2005-06-01	2016-12-28
CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED	RO	Advising on corporate finance	2005-06-01	2014-10-15
	RO	Advising on securities	2005-06-01	2017-05-12
	RO	Asset management	2005-06-01	2017-05-12
	RO	Dealing in securities	2005-06-01	2017-05-12
	Rep	Dealing in securities	2005-01-12	2005-06-01
ICHIYOSHI INTERNATIONAL (H.K.) LIMITED	RO	Advising on corporate finance	-	2004-10-04
	RO	Advising on futures contracts	-	2004-10-04
	RO	Advising on securities	-	2004-10-04
	RO	Asset management	-	2004-10-04
	RO	Dealing in futures contracts	-	2004-12-01
	RO	Dealing in securities	-	2004-12-01