SFC Licenceholders of CIFM Asset Management (Hong Kong) Limited 上投摩根資產管理(香港)有限公司
- cifmhk@cifm.com
- Website
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Licenceholders | Role | Licences | Start date | End date |
|---|---|---|---|---|
| CHANG Shu Wan 張淑婉 | RO | 1 | 14 September 2015 | 31 July 2021 |
| CHANG Shu Wan 張淑婉 | RO | 9 | 19 August 2014 | 31 July 2021 |
| CHANG Shu Wan 張淑婉 | RO | 4 | 19 August 2014 | 31 July 2021 |
| CHANG Shu Wan 張淑婉 | RE | 9 | 18 July 2014 | 19 August 2014 |
| CHANG Shu Wan 張淑婉 | RE | 4 | 18 July 2014 | 19 August 2014 |
| CHEN Chin Yueh 陳金岳 | RE | 4 | 14 April 2015 | 14 July 2017 |
| CHEN Chin Yueh 陳金岳 | RE | 1 | 14 April 2015 | 14 July 2017 |
| CHEN Chin Yueh 陳金岳 | RE | 9 | 14 April 2015 | 14 July 2017 |
| CHEN Chin Yueh 陳金岳 | RO | 1 | 04 June 2014 | 14 April 2015 |
| CHEN Chin Yueh 陳金岳 | RO | 9 | 20 July 2011 | 14 April 2015 |
| CHEN Chin Yueh 陳金岳 | RO | 4 | 20 July 2011 | 14 April 2015 |
| CHEN Qing 陳青 | RE | 4 | 22 November 2013 | 04 May 2016 |
| CHEN Qing 陳青 | RE | 1 | 14 August 2014 | 04 May 2016 |
| CHEN Qing 陳青 | RE | 9 | 22 November 2013 | 04 May 2016 |
| CHEUNG Kai Lim 張啟廉 | RO | 9 | 23 January 2019 | 31 July 2021 |
| CHEUNG Kai Lim 張啟廉 | RO | 4 | 23 January 2019 | 31 July 2021 |
| CHEUNG Kai Lim 張啟廉 | RE | 9 | 03 November 2017 | 23 January 2019 |
| CHEUNG Kai Lim 張啟廉 | RE | 4 | 13 September 2017 | 23 January 2019 |
| CHONG Kwok Chee 莊國幟 | RE | 4 | 27 December 2012 | 31 July 2015 |
| CHONG Kwok Chee 莊國幟 | RE | 9 | 27 December 2012 | 31 July 2015 |
| CHONG Kwok Chee 莊國幟 | RE | 1 | 14 August 2014 | 31 July 2015 |
| CHUNG Shuk Fan 鍾淑芬 | RE | 4 | 18 March 2013 | 12 April 2013 |
| CHUNG Shuk Fan 鍾淑芬 | RE | 9 | 18 March 2013 | 12 April 2013 |
| CHUNG Shuk Fan 鍾淑芬 | RO | 4 | 12 April 2013 | 15 July 2014 |
| CHUNG Shuk Fan 鍾淑芬 | RO | 9 | 12 April 2013 | 15 July 2014 |
| CHUNG Shuk Fan 鍾淑芬 | RO | 1 | 04 June 2014 | 15 July 2014 |
| CHUNG Wei Lun 鍾維倫 | RO | 1 | 14 September 2015 | 31 August 2021 |
| CHUNG Wei Lun 鍾維倫 | RE | 4 | 14 September 2012 | 23 November 2012 |
| CHUNG Wei Lun 鍾維倫 | RE | 9 | 14 September 2012 | 23 November 2012 |
| CHUNG Wei Lun 鍾維倫 | RO | 4 | 23 November 2012 | 31 August 2021 |
| CHUNG Wei Lun 鍾維倫 | RO | 9 | 23 November 2012 | 31 August 2021 |
| GUO Chengdong 郭成東 | RE | 4 | 14 November 2013 | 15 September 2016 |
| GUO Chengdong 郭成東 | RE | 9 | 14 November 2013 | 15 September 2016 |
| HO Kai Yin, Anthony 何啟賢 | RO | 4 | 15 December 2014 | 22 September 2015 |
| HO Kai Yin, Anthony 何啟賢 | RO | 9 | 15 December 2014 | 22 September 2015 |
| HO Kai Yin, Anthony 何啟賢 | RE | 1 | 15 October 2014 | 15 December 2014 |
| HO Kai Yin, Anthony 何啟賢 | RE | 4 | 15 October 2014 | 15 December 2014 |
| HO Kai Yin, Anthony 何啟賢 | RE | 9 | 15 October 2014 | 15 December 2014 |
| HO Kai Yin, Anthony 何啟賢 | RO | 1 | 15 December 2014 | 22 September 2015 |
| HO Ming-Fu 侯明甫 | RO | 1 | 04 June 2014 | 31 March 2017 |
| HO Ming-Fu 侯明甫 | RO | 9 | 20 July 2011 | 31 March 2017 |
| HO Ming-Fu 侯明甫 | RO | 4 | 20 July 2011 | 31 March 2017 |
| HU Ying 胡穎 | RE | 9 | 30 July 2013 | 15 September 2016 |
| HUANG Kun-sheng 黃崑盛 | RE | 1 | 10 August 2016 | 04 December 2017 |
| HUANG Kun-sheng 黃崑盛 | RE | 4 | 10 August 2016 | 04 December 2017 |
| HUANG Tsui Yao 黃翠瑤 | RO | 9 | 16 February 2012 | 01 November 2012 |
| HUANG Tsui Yao 黃翠瑤 | RO | 4 | 16 February 2012 | 01 November 2012 |
| HUANG Tsui Yao 黃翠瑤 | RE | 4 | 07 September 2011 | 16 February 2012 |
| HUANG Tsui Yao 黃翠瑤 | RE | 9 | 07 September 2011 | 16 February 2012 |
| KEUNG Hoi Hing 姜凱馨 | RE | 9 | 08 November 2017 | 31 December 2018 |
| KEUNG Hoi Hing 姜凱馨 | RE | 4 | 08 November 2017 | 31 December 2018 |
| LAU Hiu Ying, Virginia 劉曉螢 | RE | 4 | 19 October 2018 | 31 December 2019 |
| LAU Hiu Ying, Virginia 劉曉螢 | RE | 1 | 19 October 2018 | 31 December 2019 |
| LEUNG Chung Ping 梁仲平 | RE | 9 | 01 August 2016 | 16 November 2018 |
| LEUNG Chung Ping 梁仲平 | RE | 4 | 01 August 2016 | 16 November 2018 |
| OU Yaqian 歐雅倩 | RE | 4 | 15 March 2018 | 01 September 2018 |
| OU Yaqian 歐雅倩 | RE | 1 | 15 March 2018 | 01 September 2018 |
| OU Yaqian 歐雅倩 | RE | 9 | 15 June 2015 | 07 November 2016 |
| OU Yaqian 歐雅倩 | RE | 4 | 15 June 2015 | 07 November 2016 |
| OU Yaqian 歐雅倩 | RE | 1 | 15 June 2015 | 07 November 2016 |
| PAN Chun 潘淳 | RE | 4 | 21 February 2018 | 14 June 2019 |
| PAN Chun 潘淳 | RE | 1 | 21 February 2018 | 14 June 2019 |
| PANG Ka Kin 彭家健 | RE | 9 | 17 September 2013 | 23 May 2014 |
| PANG Ka Kin 彭家健 | RE | 4 | 17 September 2013 | 23 May 2014 |
| QIAN Linjuan 錢琳涓 | RE | 4 | 07 November 2011 | 01 December 2012 |
| QIAN Linjuan 錢琳涓 | RE | 9 | 07 November 2011 | 01 December 2012 |
| SHIH Yung-Ping 石永平 | RO | 4 | 20 July 2011 | 27 March 2012 |
| SHIH Yung-Ping 石永平 | RO | 9 | 20 July 2011 | 27 March 2012 |
| SHUAI Shih-Wei 帥仕偉 | RE | 9 | 05 February 2016 | 19 October 2018 |
| SHUAI Shih-Wei 帥仕偉 | RE | 4 | 05 February 2016 | 19 October 2018 |
| SHUAI Shih-Wei 帥仕偉 | RE | 1 | 05 February 2016 | 19 October 2018 |
| SZETO Fong Wa, Jenny 司徒芳華 | RO | 9 | 20 October 2016 | 31 December 2019 |
| SZETO Fong Wa, Jenny 司徒芳華 | RO | 4 | 20 October 2016 | 31 December 2019 |
| SZETO Fong Wa, Jenny 司徒芳華 | RO | 1 | 20 October 2016 | 31 December 2019 |
| SZETO Fong Wa, Jenny 司徒芳華 | RE | 9 | 18 March 2013 | 20 October 2016 |
| SZETO Fong Wa, Jenny 司徒芳華 | RE | 4 | 18 March 2013 | 20 October 2016 |
| TANG Kwan Wai 鄧君偉 | RE | 4 | 09 January 2017 | 09 September 2020 |
| TANG Yu Lam 鄧榆霖 | RE | 9 | 15 February 2019 | 27 September 2020 |
| TANG Yu Lam 鄧榆霖 | RE | 4 | 15 February 2019 | 27 September 2020 |
| TANG Yu Lam 鄧榆霖 | RE | 1 | 15 February 2019 | 27 September 2020 |
| WANG Cheng 王成 | RE | 9 | 30 July 2013 | 10 October 2014 |
| WANG Xuan 王炫 | RE | 9 | 31 July 2013 | 19 February 2016 |
| WANG Yifang 王奕放 | RE | 4 | 12 December 2017 | 31 October 2020 |
| WONG Tai Che, Eddy 王大智 | RO | 9 | 03 September 2019 | 07 July 2023 |
| WONG Tai Che, Eddy 王大智 | RO | 4 | 03 September 2019 | 07 July 2023 |
| WONG Tai Che, Eddy 王大智 | RO | 1 | 03 September 2019 | 07 July 2023 |
| XU Xiao 徐曉 | RE | 1 | 08 February 2021 | 07 July 2023 |
| XU Yunkai 許運凱 | RE | 4 | 14 November 2013 | 06 July 2015 |
| XU Yunkai 許運凱 | RE | 9 | 14 November 2013 | 06 July 2015 |
| YANG Anle 楊安樂 | RE | 4 | 14 November 2013 | 30 April 2014 |
| YANG Anle 楊安樂 | RE | 9 | 14 November 2013 | 30 April 2014 |
| YEUNG Shing Lone Gerald 楊成龍 | RO | 9 | 02 April 2019 | 03 November 2023 |
| YEUNG Shing Lone Gerald 楊成龍 | RO | 4 | 09 November 2018 | 03 November 2023 |
| YEUNG Shing Lone Gerald 楊成龍 | RO | 1 | 09 November 2018 | 03 November 2023 |
| YU An Li 余安麗 | RE | 4 | 21 December 2016 | 16 October 2017 |
| YU An Li 余安麗 | RE | 1 | 21 December 2016 | 16 October 2017 |
| ZHAO Feng 趙峰 | RE | 9 | 30 July 2013 | 15 September 2016 |
| ZHONG Ming 鍾嗚 | RE | 4 | 03 October 2016 | 01 April 2020 |
| ZHONG Ming 鍾嗚 | RE | 1 | 03 October 2016 | 01 April 2020 |
| ZHOU Hao 周浩 | RE | 9 | 15 May 2013 | 15 September 2016 |