Personnel Hong Kong SFC License Details (ID 100133)

Personnel Hong Kong SFC License Details (ID 100133)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
CLSA LIMITED	Rep	Dealing in securities	2019-09-30	2020-11-13
CITIC CLSA Capital Partners HK Limited	RO	Advising on securities	2019-07-03	2020-11-13
	RO	Asset management	2019-07-03	2020-11-13
	Rep	Advising on securities	2015-09-16	2019-07-03
	Rep	Asset management	2015-09-16	2019-07-03
Tokio Marine Investment Services, Limited	RO	Advising on securities	2008-06-13	2013-12-01
	RO	Asset management	2008-06-13	2013-12-01
	Rep	Advising on securities	2007-04-24	2008-06-13
	Rep	Asset management	2007-04-24	2008-06-13