Andrew Mark Sinclair
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Andrew Mark Sinclair, a licensed Responsible Officer with CE reference AGP545. Currently licensed at 1 firm(s): Kaison Asset Management (Hong Kong) Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Kaison Asset Management (Hong Kong) Limited 佳盛資產管理(香港)有限公司 |
RO | Type 4 — Advising on securities | 2020-09-01 | present |
| Kaison Asset Management (Hong Kong) Limited 佳盛資產管理(香港)有限公司 |
RO | Type 9 — Asset management | 2020-09-01 | present |
| Chinese Strategic Asset Management Limited 華人富通資產管理有限公司 |
RO | Type 4 — Advising on securities | 2014-10-16 | 2019-08-30 |
| Chinese Strategic Asset Management Limited 華人富通資產管理有限公司 |
RO | Type 9 — Asset management | 2014-10-16 | 2019-08-30 |
| Alphatraxx (H.K.) Limited | RO | Type 4 — Advising on securities | 2007-07-04 | 2011-11-30 |
| Alphatraxx (H.K.) Limited | RO | Type 4 — Advising on securities | 2005-12-23 | 2006-08-23 |
| Alphatraxx (H.K.) Limited | RO | Type 9 — Asset management | 2005-12-23 | 2011-11-30 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | present | 2004-04-18 |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | present | 2004-04-18 |
| UBS Securities Asia Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-04-18 |
| UBS Securities Asia Limited | Rep | Type 9 — Asset management | present | 2004-04-18 |