Yong Moon Kim
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yong Moon Kim ( ), a licensed former licensee with CE reference AEW096. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Innovation Asset Management Co., Limited 鼎新資產管理有限公司 |
RO | Type 4 — Advising on securities | 2019-08-19 | 2023-02-22 |
| Innovation Asset Management Co., Limited 鼎新資產管理有限公司 |
RO | Type 9 — Asset management | 2019-08-19 | 2023-02-22 |
| Innovation Asset Management Co., Limited 鼎新資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2019-06-25 | 2019-08-19 |
| Innovation Asset Management Co., Limited 鼎新資產管理有限公司 |
Rep | Type 9 — Asset management | 2019-06-25 | 2019-08-19 |
| China Pinnacle Equity Management Limited 源峰基金管理有限公司 |
RO | Type 4 — Advising on securities | 2018-12-20 | 2019-01-25 |
| China Pinnacle Equity Management Limited 源峰基金管理有限公司 |
RO | Type 9 — Asset management | 2017-12-13 | 2019-01-25 |
| South China Research Limited 南華資料研究有限公司 |
RO | Type 4 — Advising on securities | 2017-07-03 | 2017-12-08 |
| South China Investment Management Limited 南華投資管理有限公司 |
RO | Type 9 — Asset management | 2017-07-03 | 2017-12-08 |
| South China Research Limited 南華資料研究有限公司 |
Rep | Type 4 — Advising on securities | 2017-05-09 | 2017-07-03 |
| South China Investment Management Limited 南華投資管理有限公司 |
Rep | Type 9 — Asset management | 2017-05-09 | 2017-07-03 |
| 313 Capital Management Limited 313資本管理有限公司 |
Rep | Type 4 — Advising on securities | 2017-04-06 | 2017-05-09 |
| 313 Capital Management Limited 313資本管理有限公司 |
Rep | Type 9 — Asset management | 2017-04-06 | 2017-05-09 |
| Tandem Investors Limited |
RO | Type 4 — Advising on securities | 2014-12-24 | 2017-01-13 |
| Tandem Investors Limited |
RO | Type 9 — Asset management | 2014-12-24 | 2017-01-13 |
| Mirae Asset Global Investments (Hong Kong) Limited 未來資產環球投資(香港)有限公司 |
RO | Type 4 — Advising on securities | 2005-07-05 | 2007-06-01 |
| Mirae Asset Global Investments (Hong Kong) Limited 未來資產環球投資(香港)有限公司 |
RO | Type 9 — Asset management | 2005-07-05 | 2007-06-01 |