Personnel Hong Kong SFC License Details (ID 102017)

Personnel Hong Kong SFC License Details (ID 102017)

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
Legg Mason Asset Management Hong Kong Limited	Rep	Asset management	2008-10-22	2009-02-28
	Rep	Advising on securities	2008-08-26	2009-02-28
	Rep	Dealing in securities	2008-08-26	2009-02-28
Bright Fund Management Limited	Rep	Dealing in securities	2005-07-20	2008-07-30
	Rep	Advising on securities	2005-06-30	2008-07-30
	Rep	Asset management	2005-06-30	2008-07-30
SYZ Asset Management (Asia) Limited	Rep	Advising on securities	2004-08-02	2005-06-27
	Rep	Asset management	2004-08-02	2005-06-27
CHARLES SCHMITT &AMP; ASSOCIATES LIMITED	Rep	Advising on securities	2004-04-01	2004-07-22
	Rep	Asset management	2004-04-01	2004-07-22
PRINCIPAL GLOBAL INVESTORS (ASIA) LIMITED	Rep	Advising on corporate finance	-	2004-02-20
	Rep	Advising on securities	-	2004-02-20
	Rep	Asset management	-	2004-02-20
	Rep	Dealing in securities	-	2004-02-20