Sofaer Global Research (HK) Limited
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sofaer Global Research (HK) Limited, a Hong Kong-based licensed corporation with CE reference AAJ947. Current licensed staff on file: 0 (total recorded over time: 28).
Licence history
| Activity | From | To |
|---|---|---|
| Type 4 — Advising on securities | present | 2019-08-15 |
| Type 5 — Advising on futures contracts | present | 2011-01-18 |
| Type 6 — Advising on corporate finance | present | 2005-01-31 |
| Type 9 — Asset management | present | 2019-08-15 |
Licensed staff (all-time) (28)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| Richard Anthony William Boutland | RO 4, 9 | 2018-04 | 2019-08 |
| Benson Lin-Fong Chan 陳凌峰 | RO 4, 9 | 2017-04 | 2018-06 |
| Markus Faber | RO 4, 9 | 2004-10 | 2006-11 |
| Giampaolo Gino Ferdinando Guarnieri | RO 9 | Pre-2003 | 2004-07 |
| Terence Boo Kheng Khoo 邱武慶 | RO 4, 5, 9 Rep 5, 9 | 2008-09 | 2012-04 |
| Henry da-Cheng Lee 李大成 | RO 4, 5, 9 | 2008-08 | 2010-05 |
| Cissy Pui Sze Lui 呂沛詩 | RO 4, 5, 9 Rep 4, 5, 6, 9 | Pre-2003 | 2006-03 |
| Kirsty Jayne McLaren | RO 4, 5, 9 Rep 9 | 2006-06 | 2008-07 |
| Carmel Peters | RO 4, 5, 9 | 2006-07 | 2008-08 |
| Mark Naim Shamash | RO 4, 5, 9 Rep 4, 5, 6, 9 | Pre-2003 | 2005-10 |
| James Alexander Soutar 蘇德城 | RO 9 | Pre-2003 | 2004-07 |
| Nissim Tse 謝納新 | RO 4, 9 Rep 4, 9 | 2011-06 | 2019-01 |
| Timothy James Whyte | RO 4, 5, 9 | 2005-03 | 2008-07 |
| Ian Chung Ho Wong 黃仲濠 | RO 4, 5, 9 Rep 4, 5, 9 | 2005-07 | 2017-04 |
| Kin Kenneth Chan 陳健 | Rep 4, 9 | 2012-05 | 2013-07 |
| Jung-Jung Chang 張榕容 | Rep 4, 9 | 2013-05 | 2017-03 |
| Sze Ching Chang 鄭思正 | Rep 4, 5, 9 | 2006-05 | 2008-09 |
| Wai Lun Chang 張偉麟 | Rep 4, 5, 9 | 2005-03 | 2005-05 |
| Daniel Thomas Feldmann | Rep 4 | 2016-08 | 2017-06 |
| Dominic Pui Fung Ho 何沛峰 | Rep 4, 5, 9 | 2008-09 | 2012-05 |
| George Chenghua Ho 何正華 | Rep 4, 9 | 2010-09 | 2012-06 |
| Kenrick Kwong Wick Leung 梁光域 | Rep 4, 5, 6, 9 | Pre-2003 | 2012-05 |
| Tay Seop Lim 林泰燮 | Rep 4, 5, 9 | 2008-09 | 2010-05 |
| Epiphanios Michael | Rep 4, 9 | 2014-09 | 2015-12 |
| Prem Haroomal Ramchand Samtani | Rep 4, 6, 9 | Pre-2003 | 2004-08 |
| Wai Han (SFC:AXH211) Wong 黃惠嫺 | Rep 4, 9 | 2011-05 | 2012-08 |
| Wen (SFC:APO463) Xu 胥雯 | Rep 4, 9 | 2012-04 | 2012-04 |
| Xiaochuan Yu 余小川 | Rep 4, 9 | 2013-12 | 2014-08 |
Showing 1–28 of 28