Sin, Oscar Kwok Leung 單國樑
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 | BALLINGAL INVESTMENT ADVISORS LIMITED | Rep | Advising on futures contracts | 2010-07-05 | 2015-09-29 | Rep | Advising on securities | 2010-07-05 | 2015-09-29 | Rep | Asset management | 2010-07-05 | 2015-09-29 | RO | Advising on futures contracts | 2015-09-29 | 2016-02-20 | RO | Advising on securities | 2015-09-29 | 2016-02-20 | RO | Asset management | 2015-09-29 | 2016-02-20 |
| 2 | Holly International Asset Management Company Limited | RO | Advising on securities | 2018-08-28 | 2019-02-11 | RO | Asset management | 2018-08-28 | 2019-02-11 |
| 3 | Neutral Financial Holding Company Limited | Rep | Advising on securities | 2019-02-28 | 2019-06-10 | Rep | Asset management | 2019-02-28 | 2019-06-10 | Rep | Advising on corporate finance | 2019-04-02 | 2019-06-10 | Rep | Dealing in securities | 2019-04-02 | 2019-06-10 |
| 4 | PROSPER GLOBAL ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2020-10-14 | 2020-12-15 | Rep | Asset management | 2020-10-14 | 2020-12-15 | RO | Advising on securities | 2020-12-15 | 2023-06-02 | RO | Asset management | 2020-12-15 | 2023-06-02 |
| 5 | RAM Investment Advisors Limited | Rep | Advising on securities | 2019-06-24 | 2020-04-08 | Rep | Asset management | 2019-06-24 | 2020-04-08 | Rep | Dealing in securities | 2019-06-24 | 2020-04-08 |
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