Personnel Hong Kong SFC License Details (ID 98890)

Personnel Hong Kong SFC License Details (ID 98890)

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
Sprout Asset Management (Asia) Limited	RO	Asset management	2026-06-25	-
HWA Asset Management Limited	RO	Asset management	2023-11-22	2025-12-29
Axial Partners Limited	RO	Advising on securities	2021-10-27	2022-08-26
	RO	Asset management	2021-10-27	2022-08-26
Cofes China Limited	RO	Advising on securities	2016-04-29	2018-01-31
DAEWOO SECURITIES (HONG KONG) LIMITED	RO	Advising on corporate finance	2013-02-27	2014-01-01
	RO	Advising on securities	2013-02-27	2014-01-01
	RO	Dealing in securities	2013-02-27	2014-01-01
	Rep	Advising on securities	2011-01-12	2013-02-27
	Rep	Dealing in securities	2011-01-12	2013-02-27
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2007-05-03	2007-09-10
	Rep	Advising on securities	2007-05-03	2007-09-10
	Rep	Dealing in securities	2007-05-03	2007-09-10