David Neil Halek
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Neil Halek, a licensed Responsible Officer with CE reference ACJ179. Currently licensed at 5 firm(s): Planetree Securities Limited, Planetree Futures Limited, Planetree Research Limited, Planetree Discount Lending Limited, Planetree Asset Management Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 3 — Leveraged foreign exchange trading; Type 4 — Advising on securities; Type 5 — Advising on futures contracts; Type 7 — Providing automated trading services; Type 8 — Securities margin financing; Type 9 — Asset management. Total licence records on file: 16.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Leveraged foreign exchange trading →More firms doing Advising on securities →More firms doing Advising on futures contracts →More firms doing Providing automated trading services →More firms doing Securities margin financing →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Planetree Securities Limited 梧桐證券有限公司 |
RO | Type 3 — Leveraged foreign exchange trading | 2025-06-03 | present |
| Planetree Securities Limited 梧桐證券有限公司 |
RO | Type 1 — Dealing in securities | 2025-02-21 | present |
| Planetree Futures Limited 梧桐期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2025-02-21 | present |
| Planetree Research Limited | RO | Type 4 — Advising on securities | 2025-02-21 | present |
| Planetree Research Limited | RO | Type 5 — Advising on futures contracts | 2025-02-21 | present |
| Planetree Securities Limited 梧桐證券有限公司 |
RO | Type 7 — Providing automated trading services | 2025-02-21 | present |
| Planetree Discount Lending Limited | RO | Type 8 — Securities margin financing | 2025-02-21 | present |
| Planetree Asset Management Limited 梧桐資產管理有限公司 |
RO | Type 9 — Asset management | 2025-02-18 | present |
| Seekers Advisors H.K. Limited | RO | Type 9 — Asset management | 2013-10-22 | 2024-11-08 |
| Seekers Advisors H.K. Limited | Rep | Type 9 — Asset management | 2013-09-19 | 2013-10-22 |
| UBS Asset Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2012-09-12 | 2013-06-03 |
| UBS Asset Management (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2012-09-12 | 2013-06-03 |
| UBS Asset Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2003-08-29 | 2013-06-03 |
| UBS Asset Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2003-08-29 | 2013-06-03 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | present | 2003-08-29 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2003-08-29 |