Ma, Kai (SFC:ANU813) 馬凱
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CHINA EVERBRIGHT SECURITIES (HK) LIMITED | RO | Asset management | 2021-03-25 | |
| 2 | CHINA EVERBRIGHT SECURITIES ASSET MANAGEMENT LIMITED | RO | Advising on securities | 2021-03-25 | |
| 3 | CHINA EVERBRIGHT SECURITIES ASSET MANAGEMENT LIMITED | RO | Asset management | 2021-03-25 | |
| 4 | CHINA EVERBRIGHT SECURITIES ASSET MANAGEMENT LIMITED | RO | Dealing in securities | 2021-12-29 | |
| 5 | GRAND ALLIANCE ASSET MANAGEMENT LIMITED | Rep | Asset management | 2006-10-26 | 2010-10-01 |
| 6 | Wolver Hill Asset Management Asia Limited | Rep | Asset management | 2010-10-18 | 2012-10-09 |
| 7 | Wolver Hill Asset Management Asia Limited | RO | Asset management | 2012-10-09 | 2013-07-08 |
| 8 | GUOTAI JUNAN ASSETS (ASIA) LIMITED | Rep | Advising on securities | 2013-11-11 | 2015-12-23 |
| 9 | GUOTAI JUNAN ASSETS (ASIA) LIMITED | Rep | Asset management | 2013-11-11 | 2015-12-23 |
| 10 | GUOTAI JUNAN ASSETS (ASIA) LIMITED | RO | Advising on securities | 2015-12-23 | 2020-09-23 |
| 11 | GUOTAI JUNAN ASSETS (ASIA) LIMITED | RO | Asset management | 2015-12-23 | 2020-09-23 |
| 12 | GUOTAI JUNAN FUND MANAGEMENT LIMITED | RO | Advising on securities | 2015-12-23 | 2020-09-23 |
| 13 | GUOTAI JUNAN FUND MANAGEMENT LIMITED | RO | Asset management | 2015-12-23 | 2020-09-23 |
| 14 | SPDB International Investment Management Limited | Rep | Advising on securities | 2020-10-28 | 2020-12-31 |
| 15 | SPDB International Investment Management Limited | Rep | Asset management | 2020-10-28 | 2020-12-31 |
| 16 | CHINA EVERBRIGHT SECURITIES (HK) LIMITED | Rep | Advising on securities | 2021-01-12 | 2021-03-25 |
| 17 | CHINA EVERBRIGHT SECURITIES (HK) LIMITED | Rep | Asset management | 2021-01-12 | 2021-03-25 |
| 18 | CHINA EVERBRIGHT SECURITIES ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2021-01-12 | 2021-03-25 |
| 19 | CHINA EVERBRIGHT SECURITIES ASSET MANAGEMENT LIMITED | Rep | Asset management | 2021-01-12 | 2021-03-25 |
| 20 | CHINA EVERBRIGHT SECURITIES (HK) LIMITED | RO | Advising on securities | 2021-03-25 | 2024-02-23 |
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