Ask anything about Hong Kong regulatory compliance. Answers use your firm's live compliance data as context and cite the relevant SFC codes where possible.
MIC/RO appointments, fit & proper, licensed individuals and PA dealing
Drafts this firm's Annual Staff Declaration form, retains it in the document library, and issues a tracked Pending declaration to every active staff member.
| Name | Type | Function / RA | CE No. | Effective | Status |
|---|---|---|---|---|---|
| Angela Tse | RO | Type 9 | AAT918 | 13 Oct 2023 | Active |
| Carmen Yu | MIC | Risk Management | — | 5 Jul 2023 | Active |
| David Leung | RO | Type 9, Type 4 | ADL221 | 8 Sept 2022 | Active |
| Dennis Ng | MIC | Operational Control and Review | — | 17 Dec 2022 | Active |
| Eric Chow | MIC | Finance and Accounting | — | 17 Dec 2022 | Active |
| Iris Wong | MIC | AML/CFT | — | 16 Nov 2024 | Active |
| Jonathan Kwok | MIC | Overall Management Oversight | AJK112 | 8 Sept 2022 | Active |
| Marcus Fong | RO | Type 4 | AMF530 | 11 Mar 2024 | Active |
| Patrick Siu | MIC | Information Technology | — | 8 Aug 2024 | Active |
| Rachel Ho | MIC | Compliance | — | 8 Sept 2022 | Active |
| Sophia Lam | MIC | Key Business Line | ASL667 | 8 Sept 2022 | Active |
| Winnie Suen | RO | Type 9, Type 4 | AWS204 | 4 Feb 2025 | Active |
12 of 12 mic & ro appointments · click or press Enter on a row to view or edit
| Name | Capacity | Assessed | Integrity | Competence | Result |
|---|---|---|---|---|---|
| David Leung | RO | 9 Jul 2026 | No Issues | No Issues | Pass |
| Rachel Ho | MIC | 9 Jul 2026 | No Issues | No Issues | Pass |
| Jason Wu | Licensed Individual | — | Not Assessed | Not Assessed | Pending |
3 of 3 fit & proper assessments · click or press Enter on a row to view or edit
| Name | Role | Licenses | RO | CPT Done | Status |
|---|---|---|---|---|---|
| Angela Tse | Responsible Officer / Head of Portfolio Management | Type 9 | Yes | 11 | Active |
| Carmen Yu | Chief Risk Officer (MIC — Risk Management) | — | — | 0 | Active |
| David Leung | Responsible Officer / Deputy CIO | Type 9, Type 4 | Yes | 4 | Active |
| Dennis Ng | Chief Operating Officer (MIC — Operational Control & Review) | — | — | 0 | Active |
| Eric Chow | Chief Financial Officer (MIC — Finance & Accounting) | — | — | 0 | Active |
| Grace Liu | Portfolio Manager | Type 9 | — | 10 | Active |
| Iris Wong | MLRO (MIC — AML/CFT) | — | — | 0 | Active |
| Jason Wu | Senior Analyst (Licensed Rep) | Type 9 | — | 3 | Active |
| Jonathan Kwok | Chief Executive Officer (MIC — Overall Management Oversight) | Type 9 | — | 10 | Active |
| Kelvin Mak | Portfolio Manager | Type 9 | — | 8 | Active |
| Marcus Fong | Responsible Officer / Head of Advisory | Type 4 | Yes | 9 | Active |
| Natalie Chung | Client Advisory Associate | Type 4 | — | 6 | Active |
| Oscar Lam | Quantitative Analyst | Type 9 | — | 9 | Active |
| Patrick Siu | Head of Technology (MIC — Information Technology) | — | — | 0 | Active |
| Queenie Ng | Analyst (Licensed Rep) | Type 9 | — | 2 | On Leave |
| Rachel Ho | Head of Compliance (MIC — Compliance) | — | — | 0 | Active |
| Samuel Ho | Execution Dealer | Type 9 | — | 7.5 | Active |
| Sophia Lam | Head of Investments (MIC — Key Business Line) | Type 9 | — | 10.5 | Active |
| Winnie Suen | Responsible Officer / Senior Portfolio Manager | Type 9, Type 4 | Yes | 12.5 | Active |
19 of 19 staff register · click or press Enter on a row to view or edit
| Staff | Security | Side | Requested | Status |
|---|---|---|---|---|
| Jason Wu | NVDA US – NVIDIA Corp | Buy | 16 Oct 2026 | Pending |
| Sophia Lam | 700 HK – Tencent Holdings | Buy | 11 Oct 2026 | Approved |
| David Leung | 2800 HK – Tracker Fund | Sell | 27 Sept 2026 | Approved |
3 of 3 pa dealing requests · click or press Enter on a row to view or edit
| Staff | Type | Submitted | Status |
|---|---|---|---|
| All staff (80) | Annual Attestation | 14 Jul 2026 | Approved |
| David Leung | Outside Business Activity | 13 Oct 2026 | Pending |
| Sophia Lam | Gifts & Entertainment | 7 Oct 2026 | Approved |
3 of 3 attestations & declarations · click or press Enter on a row to view or edit