Ivan Kun Lam Tsui
徐觀林
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ivan Kun Lam Tsui (徐觀林), a licensed Responsible Officer with CE reference ACG508. Currently licensed at 1 firm(s): Yaozhi Asset Management International Co., Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 49.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Yaozhi Asset Management International Co., Limited 耀之國際資產管理有限公司 |
RO | Type 4 — Advising on securities | 2022-09-26 | present |
| Yaozhi Asset Management International Co., Limited 耀之國際資產管理有限公司 |
RO | Type 9 — Asset management | 2022-09-26 | present |
| Yaozhi Asset Management International Co., Limited 耀之國際資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2022-09-20 | 2022-09-26 |
| Yaozhi Asset Management International Co., Limited 耀之國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2022-09-20 | 2022-09-26 |
| Modern Innovative Asset Management Limited 新質資產管理有限公司 |
RO | Type 4 — Advising on securities | 2021-01-28 | 2022-09-12 |
| Modern Innovative Asset Management Limited 新質資產管理有限公司 |
RO | Type 9 — Asset management | 2021-01-28 | 2022-09-12 |
| Modern Innovative Asset Management Limited 新質資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2020-12-28 | 2021-01-28 |
| Modern Innovative Asset Management Limited 新質資產管理有限公司 |
Rep | Type 9 — Asset management | 2020-12-28 | 2021-01-28 |
| Alpha Nova Capital Management Limited |
RO | Type 4 — Advising on securities | 2017-07-27 | 2020-09-30 |
| Alpha Nova Capital Management Limited |
RO | Type 9 — Asset management | 2017-07-27 | 2020-09-30 |
| Alpha Nova Capital Management Limited |
Rep | Type 4 — Advising on securities | 2017-06-13 | 2017-07-27 |
| Alpha Nova Capital Management Limited |
Rep | Type 9 — Asset management | 2017-06-13 | 2017-07-27 |
| Qiao Group Limited 聯橋集團有限公司 |
RO | Type 4 — Advising on securities | 2015-03-31 | 2017-05-31 |
| Qiao Group Limited 聯橋集團有限公司 |
RO | Type 9 — Asset management | 2015-03-31 | 2017-05-31 |
| Chinese Strategic Asset Management Limited 華人富通資產管理有限公司 |
RO | Type 4 — Advising on securities | 2014-04-01 | 2015-03-15 |
| Chinese Strategic Asset Management Limited 華人富通資產管理有限公司 |
RO | Type 9 — Asset management | 2014-04-01 | 2015-03-15 |
| Chinese Strategic Asset Management Limited 華人富通資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2014-03-10 | 2014-04-01 |
| Chinese Strategic Asset Management Limited 華人富通資產管理有限公司 |
Rep | Type 9 — Asset management | 2014-03-10 | 2014-04-01 |
| China Glory Securities Company Limited 華彩證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-09-16 | 2014-02-28 |
| China Glory Securities Company Limited 華彩證券有限公司 |
RO | Type 1 — Dealing in securities | 2013-09-16 | 2014-02-28 |
| ZMF Asset Management Limited 中募金融資管有限公司 |
RO | Type 9 — Asset management | 2013-09-16 | 2014-02-28 |
| Glenworth Capital Limited | RO | Type 4 — Advising on securities | 2013-01-29 | 2013-02-01 |
| Glenworth Capital Limited | RO | Type 9 — Asset management | 2013-01-29 | 2013-02-01 |
| South China Securities Limited 南華證券投資有限公司 |
Rep | Type 1 — Dealing in securities | 2012-05-15 | 2012-09-21 |
| South China Commodities Limited 南華期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-05-15 | 2012-09-21 |
| 313 Capital Management Limited 313資本管理有限公司 |
Rep | Type 4 — Advising on securities | 2012-05-15 | 2012-09-21 |
| 313 Capital Management Limited 313資本管理有限公司 |
Rep | Type 9 — Asset management | 2012-05-15 | 2012-09-21 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 1 — Dealing in securities | 2011-12-30 | 2012-04-25 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 4 — Advising on securities | 2011-12-30 | 2012-04-25 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 9 — Asset management | 2011-12-30 | 2012-04-25 |
| Quam Securities Limited 華富建業證券有限公司 |
RO | Type 1 — Dealing in securities | 2011-04-19 | 2011-12-30 |
| Quam Securities Limited 華富建業證券有限公司 |
RO | Type 4 — Advising on securities | 2011-04-19 | 2011-12-30 |
| Quam Securities Limited 華富建業證券有限公司 |
RO | Type 9 — Asset management | 2011-04-19 | 2011-12-30 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 1 — Dealing in securities | 2011-01-26 | 2011-04-19 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-01-26 | 2012-04-25 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 4 — Advising on securities | 2011-01-26 | 2011-04-19 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 9 — Asset management | 2011-01-26 | 2011-04-19 |
| RHB Futures Hong Kong Limited 興業金融期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-10-09 | 2011-01-17 |
| RHB Asset Management Limited 興業金融資產管理有限公司 |
RO | Type 9 — Asset management | 2009-06-26 | 2011-01-17 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
RO | Type 1 — Dealing in securities | 2008-12-16 | 2011-01-17 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
RO | Type 4 — Advising on securities | 2008-12-16 | 2011-01-17 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 — Dealing in securities | 2008-10-21 | 2008-12-16 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 4 — Advising on securities | 2008-10-21 | 2008-12-16 |
| BNP Paribas Dealing Services Asia Limited 法國巴黎金融交易服務亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2008-03-27 | 2008-06-03 |
| BNP Paribas Dealing Services Asia Limited 法國巴黎金融交易服務亞洲有限公司 |
RO | Type 4 — Advising on securities | 2008-03-27 | 2008-06-03 |
| BNP Paribas Dealing Services Asia Limited 法國巴黎金融交易服務亞洲有限公司 |
RO | Type 9 — Asset management | 2008-03-27 | 2008-06-03 |
| BNP Paribas Dealing Services Asia Limited 法國巴黎金融交易服務亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2006-12-04 | 2008-03-27 |
| BNP Paribas Dealing Services Asia Limited 法國巴黎金融交易服務亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2004-06-21 | 2008-03-27 |
| BNP Paribas Dealing Services Asia Limited 法國巴黎金融交易服務亞洲有限公司 |
Rep | Type 9 — Asset management | 2004-06-21 | 2008-03-27 |