Lin, Ben Peng 林芃
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 | CHELSEA SECURITIES LIMITED (HK) | RO | Advising on securities | 2021-12-10 | RO | Asset management | 2021-12-10 | RO | Dealing in securities | 2021-12-10 | RO | Advising on corporate finance | 2022-07-06 |
| 2 | MAGIC COMPASS ASSET MANAGEMENT LIMITED | RO | Asset management | 2017-06-30 | 2020-03-15 |
| 3 | MAGIC COMPASS FUTURES LIMITED | RO | Dealing in futures contracts | 2017-06-30 | 2020-03-15 |
| 4 | Prime Cdex Securities Limited | RO | Advising on securities | 2017-06-30 | 2020-03-15 | RO | Dealing in securities | 2017-06-30 | 2020-03-15 |
| 5 | SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | Rep | Asset management | 2011-12-19 | 2012-06-29 | RO | Asset management | 2012-06-29 | 2017-04-09 |
| 6 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2011-11-02 | 2014-03-03 | RO | Dealing in securities | 2014-03-03 | 2017-04-09 | RO | Advising on securities | 2014-11-07 | 2017-04-09 |
| 7 | SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Dealing in futures contracts | 2012-01-10 | 2014-03-03 | RO | Dealing in futures contracts | 2014-03-03 | 2017-04-09 |
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