Personnel Hong Kong SFC License Details (ID 100393)

Personnel Hong Kong SFC License Details (ID 100393)

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
Brookfield Advisors (Hong Kong) Limited	RO	Advising on securities	2022-08-02	2024-07-15
	RO	Dealing in securities	2022-08-02	2024-07-15
	Rep	Advising on securities	2022-05-12	2022-08-02
	Rep	Dealing in securities	2022-05-12	2022-08-02
PIMCO Asia Limited	Rep	Advising on securities	2019-08-27	2022-03-24
	Rep	Asset management	2019-08-27	2022-03-24
	Rep	Dealing in securities	2016-08-19	2022-03-24
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2013-01-14	2016-03-25
MAN INVESTMENTS (HONG KONG) LIMITED	Rep	Advising on securities	2012-08-08	2012-11-23
	Rep	Dealing in securities	2012-08-08	2012-11-23
FRM HONG KONG LIMITED (d2014-05-18)	Rep	Asset management	2010-07-07	2012-07-30
	Rep	Dealing in securities	2010-07-07	2012-07-30
Credit Agricole Securities (Asia) Limited	Rep	Dealing in securities	2007-08-24	2009-01-01