Personnel SFC Licences and HKMA Registrations (ID 99624)

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
Lucky Guosheng Securities Limited	RO	Advising on securities	2020-09-23	-
	RO	Asset management	2020-09-23	-
	RO	Dealing in securities	2018-10-23	-
Thoth Investment Management Limited	RO	Asset management	2016-11-22	2018-10-06
MONEY CONCEPTS ASSET MANAGEMENT LIMITED	RO	Advising on securities	2016-02-18	2016-11-01
	RO	Asset management	2016-02-18	2016-11-01
	RO	Dealing in securities	2016-02-18	2016-11-01
MONEY CONCEPTS (ASIA) HOLDINGS LIMITED	RO	Asset management	2013-08-21	2016-11-01
	RO	Dealing in securities	2013-08-21	2016-11-01
	RO	Advising on securities	2012-11-01	2016-11-01
	Rep	Advising on securities	2011-09-14	2012-11-01
	Rep	Asset management	2011-09-14	2013-08-21
	Rep	Dealing in securities	2011-09-14	2013-08-21
MONEY CONCEPTS (ASIA) LIMITED	Rep	Advising on corporate finance	2003-04-01	2005-05-03
	Rep	Asset management	2003-04-01	2005-05-03
	Rep	Advising on securities	2003-04-01	2011-08-12

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.