Niteesh Joshi
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Niteesh Joshi, a licensed Responsible Officer with CE reference AOV763. Currently licensed at 1 firm(s): Sona Asset Management (HK) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 12.5 years of SFC licence history. Total licence records on file: 16.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Sona Asset Management (HK) Limited | RO | Type 1 - Dealing in securities | 2026-05-22 | present |
| Sona Asset Management (HK) Limited | RO | Type 4 - Advising on securities | 2026-05-22 | present |
| Sona Asset Management (HK) Limited | RO | Type 9 - Asset management | 2026-05-22 | present |
| Sona Asset Management (HK) Limited | Rep | Type 1 - Dealing in securities | 2025-09-08 | 2026-05-22 |
| Sona Asset Management (HK) Limited | Rep | Type 4 - Advising on securities | 2025-09-08 | 2026-05-22 |
| Sona Asset Management (HK) Limited | Rep | Type 9 - Asset management | 2025-09-08 | 2026-05-22 |
| Millennium Capital Management (Hong Kong) Limited | Rep | Type 9 - Asset management | 2021-08-24 | 2025-08-26 |
| Grand Loyal Asset Management Limited 瑞誠資產管理有限公司 |
RO | Type 4 - Advising on securities | 2020-06-09 | 2021-07-30 |
| Grand Loyal Asset Management Limited 瑞誠資產管理有限公司 |
RO | Type 9 - Asset management | 2020-06-09 | 2021-07-30 |
| Grand Loyal Asset Management Limited 瑞誠資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2018-11-16 | 2020-06-09 |
| Grand Loyal Asset Management Limited 瑞誠資產管理有限公司 |
Rep | Type 9 - Asset management | 2018-11-16 | 2020-06-09 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2018-04-03 | 2018-07-19 |
| Grand Loyal Asset Management Limited 瑞誠資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2008-12-12 | 2012-06-01 |
| Grand Loyal Asset Management Limited 瑞誠資產管理有限公司 |
Rep | Type 9 - Asset management | 2008-12-12 | 2012-06-01 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 - Dealing in securities | 2007-04-26 | 2008-07-01 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-04-26 | 2008-07-01 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Niteesh Joshi during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.