Personnel Hong Kong SFC License Details (ID 99435)

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
Orchid Tree Investment Management Limited	RO	Asset management	2026-03-10	-
MicroBit Capital Management Limited	RO	Dealing in securities	2025-07-18	2026-02-24
	RO	Advising on securities	2025-03-14	2026-02-24
	RO	Asset management	2025-03-14	2026-02-24
	Rep	Advising on securities	2025-01-16	2025-03-14
Liquidity Finance (Hong Kong) Limited	RO	Advising on securities	2024-02-22	2024-09-12
ORIENT SECURITIES LIMITED	RO	Advising on securities	2022-06-15	2023-08-19
	RO	Asset management	2022-06-15	2023-08-19
	RO	Dealing in securities	2022-06-15	2023-08-19
	Rep	Advising on securities	2022-06-06	2022-06-15
	Rep	Asset management	2022-06-06	2022-06-15
	Rep	Dealing in securities	2022-06-06	2022-06-15
Kaisa Asset Management Limited	RO	Advising on securities	2020-10-23	2022-05-27
	RO	Asset management	2020-10-23	2022-05-27
Kaisa Financial Group Company Limited	Rep	Dealing in securities	2020-10-21	2022-05-27
Kaisa Asset Management Limited	Rep	Advising on securities	2020-09-04	2020-10-23
	Rep	Asset management	2020-09-04	2020-10-23
HuaAn Asset Management (Hong Kong) Limited	RO	Advising on securities	2013-09-26	2020-05-03
	RO	Asset management	2013-09-26	2020-05-03
	Rep	Advising on securities	2013-03-08	2013-09-26
	Rep	Asset management	2013-03-08	2013-09-26
KAISEN ASSET MANAGEMENT LIMITED	RO	Asset management	2010-03-08	2012-12-31
	Rep	Asset management	2009-12-03	2010-03-08
SCULPTOR CAPITAL MANAGEMENT HONG KONG LIMITED	Rep	Asset management	2008-07-14	2008-12-05
UBS Asset Management (Hong Kong) Limited	Rep	Advising on securities	2006-07-19	2008-07-12
	Rep	Asset management	2006-07-17	2008-07-12
First Sentier Investors (Hong Kong) Limited	Rep	Advising on futures contracts	2006-02-15	2006-07-08
FIRST STATE (HONG KONG) LLC	Rep	Advising on futures contracts	2006-02-15	2006-07-08
First Sentier Investors (Hong Kong) Limited	Rep	Asset management	2003-04-16	2006-07-08
	Rep	Dealing in securities	2003-04-16	2006-07-08