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HUNG Siu Chun, Michael

洪小駿
CE AGA524Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

HUNG Siu Chun, Michael (CE number AGA524) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 3 (Leveraged FX), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 6 (Corporate finance), Type 7 (Automated trading), Type 8 (Securities margin financing), Type 9 (Asset management). Currently a responsible officer at 5 firms.

Regulated Activities (on record) (9)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 3 Leveraged Foreign Exchange Trading
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 6 Advising on Corporate Finance
RA 7 Providing Automated Trading Services
RA 8 Securities Margin Financing
RA 9 Asset Management

Roles & Accreditations (5)

CapacityCompany / Institution
Responsible OfficerPlanetree Asset Management Limited
梧桐資產管理有限公司
Responsible OfficerPlanetree Discount Lending Limited
Responsible OfficerPlanetree Futures Limited
梧桐期貨有限公司
Responsible OfficerPlanetree Research Limited
Responsible OfficerPlanetree Securities Limited
梧桐證券有限公司

Licence Record (16)

2023-09-27 – present Current
Planetree Research Limited RO
RA 4 RA 5
2023-02-20 – present Current
Planetree Securities Limited RO
RA 1 RA 3 RA 7
2023-02-20 – present Current
Planetree Futures Limited RO
RA 2
2023-02-20 – present Current
Planetree Discount Lending Limited RO
RA 8
2023-02-20 – present Current
Planetree Asset Management Limited RO
RA 9
2022-12-20 – 2023-02-20
Planetree Securities Limited Rep
RA 1 RA 7
2022-12-20 – 2023-02-20
Planetree Futures Limited Rep
RA 2
2022-12-20 – 2023-02-20
Planetree Discount Lending Limited Rep
RA 8
2022-12-20 – 2023-02-20
Planetree Asset Management Limited Rep
RA 9
2017-12-19 – 2022-07-14
I-Access Investors Limited RO
RA 1 RA 2 RA 3 RA 4 RA 5 RA 7
2013-07-05 – 2017-09-18
Annum Asset Management (Hong Kong) Limited RO
RA 4 RA 5 RA 9
2013-01-23 – 2020-04-07
I-Access Investors Limited Rep
RA 1 RA 2 RA 6
2011-11-14 – 2012-10-09
Yuanta Securities (Hong Kong) Company Limited Rep
RA 1 RA 4
2008-03-28 – 2011-05-11
UBS Asset Management (Hong Kong) Limited Rep
RA 4 RA 9
2003-04-01 – 2008-01-10
Morgan Stanley Asia Limited Rep
RA 1 RA 4 RA 5 RA 6 RA 7
2003-04-01 – 2008-01-10
Morgan Stanley Hong Kong Futures Limited Rep
RA 2 RA 7

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AGA524