Personnel Hong Kong SFC License Details (ID 104017)

Personnel Hong Kong SFC License Details (ID 104017)

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
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on securities	2012-04-20	2013-06-14
	Rep	Asset management	2012-04-20	2013-06-14
	Rep	Dealing in securities	2012-04-20	2013-06-14
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Dealing in securities	2012-04-20	2013-06-14
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in securities	2005-05-20	2007-04-30
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on corporate finance	-	2004-05-05
	Rep	Advising on futures contracts	-	2004-11-30
	Rep	Advising on securities	-	2004-11-30
	Rep	Asset management	-	2004-11-30
SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED	Rep	Advising on futures contracts	-	2004-11-30
	Rep	Advising on securities	-	2004-11-30
	Rep	Asset management	-	2004-11-30