Sen, Tung Ning 神東寧
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 | CAPITAL GLOBAL MANAGEMENT LIMITED | Rep | Advising on securities | 2006-08-01 | 2007-07-25 | RO | Advising on securities | 2007-07-25 | 2007-10-18 | RO | Asset management | 2007-07-25 | 2007-10-18 |
| 2 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED | Rep | Asset management | 2022-07-13 | 2022-11-03 | RO | Asset management | 2022-11-03 |
| 3 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | Advising on securities | 2022-07-13 | Rep | Dealing in securities | 2022-11-03 |
| 4 | CMB International Asset Management Limited | Rep | Advising on securities | 2010-06-30 | 2010-07-27 | Rep | Asset management | 2010-06-30 | 2010-07-27 | RO | Advising on securities | 2010-07-27 | 2017-09-26 | RO | Asset management | 2010-07-27 | 2017-09-26 |
| 5 | CMS CAPITAL (HK) CO., LIMITED | Rep | Advising on securities | 2007-12-05 | 2009-11-14 | Rep | Asset management | 2007-12-05 | 2009-11-14 |
| 6 | CNCB (Hong Kong) Capital Limited | Rep | Advising on securities | 2017-12-01 | 2018-02-27 | Rep | Asset management | 2017-12-01 | 2018-02-27 | Rep | Dealing in securities | 2017-12-01 | 2018-02-27 | RO | Advising on securities | 2018-02-27 | 2018-08-27 | RO | Asset management | 2018-02-27 | 2018-08-27 | RO | Dealing in securities | 2018-02-27 | 2018-08-27 |
| 7 | DA CHENG INTERNATIONAL ASSET MANAGEMENT COMPANY LIMITED | Rep | Advising on securities | 2009-11-25 | 2010-06-11 | Rep | Asset management | 2009-11-25 | 2010-06-11 | Rep | Dealing in securities | 2009-12-23 | 2010-06-11 |
| 8 | FOUNDER ASSET MANAGEMENT (HONG KONG) LIMITED | RO | Asset management | 2018-10-30 | 2020-05-31 | RO | Advising on securities | 2019-09-02 | 2020-05-31 |
| 9 | GRAND ALLIANCE ASSET MANAGEMENT LIMITED | Rep | Asset management | 2006-01-27 | 2006-02-10 |
| 10 | HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED | Rep | Asset management | 2007-12-05 | 2008-03-31 | Rep | Advising on securities | 2007-12-05 | 2008-05-21 | RO | Asset management | 2008-03-31 | 2009-11-14 | RO | Advising on securities | 2008-05-21 | 2009-11-14 | Rep | Advising on futures contracts | 2008-10-29 | 2009-11-14 |
| 11 | HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED | Rep | Asset management | 2007-12-05 | 2008-03-31 | Rep | Advising on securities | 2007-12-05 | 2008-05-21 | RO | Asset management | 2008-03-31 | 2009-11-14 | RO | Advising on securities | 2008-05-21 | 2009-11-14 | Rep | Dealing in securities | 2008-10-29 | 2009-02-28 |
| 12 | SDG Asset Management (HK) Limited | Rep | Advising on securities | 2020-07-06 | 2020-07-31 | Rep | Asset management | 2020-07-06 | 2020-07-31 | RO | Advising on securities | 2020-07-31 | 2022-06-13 | RO | Asset management | 2020-07-31 | 2022-06-13 |
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