North Rock Capital Management (HK) Limited

CE No. BSU164 Licensed corporation Active

This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for North Rock Capital Management (HK) Limited (), a Hong Kong-based licensed corporation with CE reference BSU164. Currently licensed for regulated activity type(s) 1 — Dealing in securities; 2 — Dealing in futures contracts; 9 — Asset management. Current licensed staff on file: 25 (total recorded over time: 43). Earliest licence on file: 2023-01-18.

More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Asset management →

Registered address

28/F, LHT Tower, 31 Queen's Road Central

Licence history

Activity	From	To
Type 1 — Dealing in securities	2023-07-20	present
Type 2 — Dealing in futures contracts	2024-11-01	present
Type 9 — Asset management	2023-01-18	present

Licensed staff (all-time) (43)
Active on date

1 Dealing in securities 2 Dealing in futures contracts 9 Asset management

RO only

Name	Activities	First licensed	To
Ka Shing Chan 陳嘉誠	RO 1, 9 Rep 9	2023-02	Present
Simon Sze Yuen Chow 周思遠	RO 1, 2, 9	2023-01	Present
Edward Henry Grissell	RO 2 Rep 1, 9	2023-02	2026-03
Dong Kyeon Kim	RO 2	2026-03	Present
Oscar Hoyin Wan 溫浩然	RO 1, 9	2023-01	2024-05
Tsumugi Akiba	Rep 9	2023-07	2025-05
Nilesh Banerjee	Rep 9	2023-11	Present
Andrew Francis Caldwell	Rep 1, 9	2024-01	2025-07
Yu (SFC:BXV848) Fan 樊宇	Rep 9	2026-04	Present
Yitong Gao 高溢彤	Rep 9	2025-06	Present
Bitao He 和璧淘	Rep 1, 9	2025-07	Present
Minghao Jiang	Rep 9	2025-07	Present
Vinit Kumar Joshi	Rep 9	2025-05	Present
Jin Hyun Kim	Rep 9	2023-02	2024-04
Junghun Kim	Rep 9	2023-05	2025-01
Yeon Soo Kim	Rep 9	2025-09	Present
Alen Chi Wang Lai 黎智弘	Rep 1, 9	2024-03	Present
Mei Lam Nicole Lee 李美霖	Rep 1, 2, 9	2023-08	Present
Taewoo Lee	Rep 9	2023-10	2025-08
Tong Fai Leung 梁鏜煇	Rep 1, 2, 9	2026-02	Present
Daniel da Lian	Rep 9	2023-10	2026-02
Shuang Liang 梁爽	Rep 9	2025-04	2026-04
Weisheng Vincent Lim 林威盛	Rep 9	2025-03	Present
Jia (SFC:AVX016) Liu 劉佳	Rep 9	2023-11	Present
Xinyu Liu 劉欣玉	Rep 9	2025-12	Present
Ken Miyahara	Rep 9	2024-03	2025-05
Shengshen Nie 聶晟申	Rep 9	2024-10	2026-03
Abhishek Rathi	Rep 9	2023-12	2024-11
Hu Shen 沈乎	Rep 9	2025-07	Present
Tingting Si 司婷婷	Rep 9	2024-01	2026-04
Michael Joseph Vasko	Rep 1, 9	2024-06	Present
Chi Shing Wah 華智誠	Rep 9	2024-04	2025-05
Hsuan Yun Wang 王宣勻	Rep 1, 9	2025-11	Present
Zhengyi Wei 衛正逸	Rep 9	2024-03	2026-03
Yu Wo Wong 王宇和	Rep 1, 9	2024-08	2025-06
Ling Wu 巫羚	Rep 9	2024-06	Present
Ming Xie 謝明	Rep 9	2026-01	Present
Yan Yan 閻彥	Rep 9	2023-12	2024-11
Yuhao Yang 楊宇豪	Rep 9	2023-11	Present
Jiayu (SFC:BVN727) Zhang 張伽宇	Rep 9	2024-10	2025-05
Yijia (SFC:BKM831) Zhang 張藝佳	Rep 9	2026-03	Present
Zeyu Zheng 鄭澤宇	Rep 9	2025-11	Present
Yiqing Zhu 朱一青	Rep 9	2025-06	Present