Unofficial — this is NOT the SFC. Independent site, not affiliated with the Securities and Futures Commission of Hong Kong. All information is compiled from SFC, HKMA and other public regulatory records and is for reference only — verify on the official SFC website before relying on it.
SFC Radar
中文 ← Back to search

HO Andy

何肇聰
CE BAH333Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

HO Andy (CE number BAH333) is an individual licensed by the Hong Kong SFC. First licensed on 2013-01-31. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (3)

CapacityCompany / Institution
Responsible OfficerHSBC Global Asset Management (Hong Kong) Limited
Responsible OfficerHSBC Investment Funds (Hong Kong) Limited
RepresentativeHSBC Global Asset Management (Hong Kong) Limited

Licence Record (6)

2022-03-18 – present Current
HSBC Global Asset Management (Hong Kong) Limited RO
RA 1 RA 2 RA 9
2022-03-18 – present Current
HSBC Investment Funds (Hong Kong) Limited RO
RA 1
2021-10-15 – present Current
HSBC Global Asset Management (Hong Kong) Limited Rep
RA 1 RA 2 RA 4 RA 9
2021-10-15 – 2022-03-18
HSBC Investment Funds (Hong Kong) Limited Rep
RA 1
2016-03-18 – 2021-09-29
DWS Investments Hong Kong Limited RO
RA 1 RA 2
2013-01-31 – 2016-02-05
BNY Mellon Investment Management Hong Kong Limited RO
RA 1 RA 2

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/BAH333