Tsui, Ivan Kun Lam 徐觀林
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 | 313 Capital Management Limited | Rep | Advising on securities | 2012-05-15 | 2012-09-21 | Rep | Asset management | 2012-05-15 | 2012-09-21 |
2 | Alpha Nova Capital Management Limited | Rep | Advising on securities | 2017-06-13 | 2017-07-27 | Rep | Asset management | 2017-06-13 | 2017-07-27 | RO | Advising on securities | 2017-07-27 | 2020-09-30 | RO | Asset management | 2017-07-27 | 2020-09-30 |
3 | Austen Capital Management Limited | RO | Advising on securities | 2015-03-31 | 2017-05-31 | RO | Asset management | 2015-03-31 | 2017-05-31 |
4 | BNP PARIBAS DEALING SERVICES ASIA LIMITED | Rep | Asset management | 2004-06-21 | 2008-03-27 | Rep | Dealing in securities | 2004-06-21 | 2008-03-27 | Rep | Advising on securities | 2006-12-04 | 2008-03-27 | RO | Advising on securities | 2008-03-27 | 2008-06-03 | RO | Asset management | 2008-03-27 | 2008-06-03 | RO | Dealing in securities | 2008-03-27 | 2008-06-03 |
5 | CHAOSHANG ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2020-12-28 | 2021-01-28 | Rep | Asset management | 2020-12-28 | 2021-01-28 | RO | Advising on securities | 2021-01-28 | 2022-09-12 | RO | Asset management | 2021-01-28 | 2022-09-12 |
6 | CHINA GLORY SECURITIES COMPANY LIMITED | Rep | Dealing in futures contracts | 2013-09-16 | 2014-02-28 | RO | Dealing in securities | 2013-09-16 | 2014-02-28 |
7 | Chinese Strategic Asset Management Limited | Rep | Advising on securities | 2014-03-10 | 2014-04-01 | Rep | Asset management | 2014-03-10 | 2014-04-01 | RO | Advising on securities | 2014-04-01 | 2015-03-15 | RO | Asset management | 2014-04-01 | 2015-03-15 |
8 | GLENWORTH CAPITAL LIMITED | RO | Advising on securities | 2013-01-29 | 2013-02-01 | RO | Asset management | 2013-01-29 | 2013-02-01 |
9 | Quam Securities Limited | Rep | Advising on securities | 2011-01-26 | 2011-04-19 | Rep | Asset management | 2011-01-26 | 2011-04-19 | Rep | Dealing in securities | 2011-01-26 | 2011-04-19 | Rep | Dealing in futures contracts | 2011-01-26 | 2012-04-25 | RO | Advising on securities | 2011-04-19 | 2011-12-30 | RO | Asset management | 2011-04-19 | 2011-12-30 | RO | Dealing in securities | 2011-04-19 | 2011-12-30 | Rep | Advising on securities | 2011-12-30 | 2012-04-25 | Rep | Asset management | 2011-12-30 | 2012-04-25 | Rep | Dealing in securities | 2011-12-30 | 2012-04-25 |
10 | RHB ASSET MANAGEMENT LIMITED | RO | Asset management | 2009-06-26 | 2011-01-17 |
11 | RHB FUTURES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2009-10-09 | 2011-01-17 |
12 | RHB SECURITIES HONG KONG LIMITED | Rep | Advising on securities | 2008-10-21 | 2008-12-16 | Rep | Dealing in securities | 2008-10-21 | 2008-12-16 | RO | Advising on securities | 2008-12-16 | 2011-01-17 | RO | Dealing in securities | 2008-12-16 | 2011-01-17 |
13 | SOUTH CHINA COMMODITIES LIMITED | Rep | Dealing in futures contracts | 2012-05-15 | 2012-09-21 |
14 | SOUTH CHINA SECURITIES LIMITED | Rep | Dealing in securities | 2012-05-15 | 2012-09-21 |
15 | YAOZHI ASSET MANAGEMENT INTERNATIONAL CO., LIMITED | Rep | Advising on securities | 2022-09-20 | 2022-09-26 | Rep | Asset management | 2022-09-20 | 2022-09-26 | RO | Advising on securities | 2022-09-26 | RO | Asset management | 2022-09-26 |
16 | ZMF Asset Management Limited | RO | Asset management | 2013-09-16 | 2014-02-28 |
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