Halek, David Neil
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | Planetree Asset Management Limited (HK) | RO | Asset management | 2025-02-18 | |
| 2 | Planetree Discount Lending Limited | RO | Securities margin financing | 2025-02-21 | |
| 3 | Planetree Futures Limited | RO | Dealing in futures contracts | 2025-02-21 | |
| 4 | Planetree Research Limited | RO | Advising on futures contracts | 2025-02-21 | RO | Advising on securities | 2025-02-21 |
| 5 | Planetree Securities Limited | RO | Automated trading services | 2025-02-21 | RO | Dealing in securities | 2025-02-21 | RO | Leveraged foreign exchange trading | 2025-06-03 |
| 6 | SEEKERS ADVISORS H.K. LIMITED | Rep | Asset management | 2013-09-19 | 2013-10-22 | RO | Asset management | 2013-10-22 | 2024-11-08 |
| 7 | UBS Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2003-08-29 | Rep | Asset management | 2003-08-29 | RO | Advising on securities | 2003-08-29 | 2013-06-03 | RO | Asset management | 2003-08-29 | 2013-06-03 | RO | Dealing in futures contracts | 2012-09-12 | 2013-06-03 | RO | Dealing in securities | 2012-09-12 | 2013-06-03 |
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