Rick Man Sim
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Rick Man Sim, a licensed Representative with CE reference BNF965. Currently licensed at 1 firm(s): Huatai Financial Holdings (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts. This person has 7.6 years of SFC licence history. Total licence records on file: 11.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2025-07-10 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2025-07-10 | present |
| Aureum Infinity Capital Limited 滶盈資本有限公司 |
Rep | Type 1 - Dealing in securities | 2022-08-29 | 2025-04-30 |
| Aureum Infinity Capital Limited 滶盈資本有限公司 |
Rep | Type 4 - Advising on securities | 2022-08-29 | 2025-04-30 |
| Aureum Infinity Capital Limited 滶盈資本有限公司 |
Rep | Type 9 - Asset management | 2022-08-29 | 2025-04-30 |
| AP Capital Management (Hong Kong) Limited 雅柏資本管理(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2020-09-21 | 2022-06-30 |
| AP Capital Management (Hong Kong) Limited 雅柏資本管理(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | 2020-09-21 | 2022-06-30 |
| AP Capital Management (Hong Kong) Limited 雅柏資本管理(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2019-10-02 | 2022-06-30 |
| AP Capital Management (Hong Kong) Limited 雅柏資本管理(香港)有限公司 |
Rep | Type 9 - Asset management | 2019-10-02 | 2022-06-30 |
| AP Capital Management (Hong Kong) Limited 雅柏資本管理(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2019-09-20 | 2022-06-30 |
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
Rep | Type 1 - Dealing in securities | 2018-07-18 | 2019-08-30 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Rick Man Sim 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.