Personnel Hong Kong SFC License Details (ID 103923)

Personnel Hong Kong SFC License Details (ID 103923)

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
Pine Star Asset Management Limited	RO	Advising on securities	2018-09-10	2024-09-30
	RO	Asset management	2018-09-10	2024-09-30
	Rep	Asset management	2018-07-25	2018-09-10
Mu Investment Management (Asia) Limited	RO	Asset management	2014-09-29	2018-07-20
Redwood Investment Management (Asia) Limited	RO	Advising on securities	2008-12-05	2014-04-11
	RO	Asset management	2008-12-05	2014-04-11
Merrill Lynch Far East Limited	Rep	Dealing in securities	2007-02-16	2008-06-13
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-02-16	2008-06-13
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2006-07-13	2008-06-13
FIL Investment Advisors	Rep	Advising on corporate finance	-	2004-10-19
	Rep	Advising on securities	-	2006-06-02
	Rep	Asset management	-	2006-06-02
FIL Investment Management (Hong Kong) Limited	Rep	Advising on corporate finance	-	2004-10-19
	Rep	Dealing in securities	-	2004-10-19
	Rep	Advising on securities	-	2006-06-02
	Rep	Asset management	-	2006-06-02