Personnel Hong Kong SFC License Details (ID 104154)

Personnel Hong Kong SFC License Details (ID 104154)

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
SG ASSET MANAGEMENT (HONG KONG) LIMITED	RO	Dealing in securities	2007-08-14	2008-10-02
	RO	Advising on securities	2006-08-30	2008-10-02
	RO	Asset management	2006-08-30	2008-10-02
Legg Mason Asset Management Hong Kong Limited	RO	Dealing in securities	2005-10-31	2006-05-01
	RO	Asset management	2005-01-18	2006-05-01
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	RO	Asset management	2005-01-18	2006-05-01
Legg Mason Asset Management Hong Kong Limited	RO	Advising on futures contracts	2004-08-27	2006-05-01
	RO	Advising on securities	2004-08-27	2006-05-01
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	RO	Advising on futures contracts	2004-08-27	2006-05-01
	RO	Advising on securities	2004-08-27	2006-05-01
	RO	Dealing in securities	2004-08-27	2006-05-01
Legg Mason Asset Management Hong Kong Limited	Rep	Advising on corporate finance	-	2004-05-10
	Rep	Advising on futures contracts	-	2004-05-10
	Rep	Asset management	-	2004-05-10
	Rep	Advising on securities	-	2004-08-27
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	Rep	Advising on corporate finance	-	2004-05-10
	Rep	Asset management	-	2004-05-10
	Rep	Advising on securities	-	2004-08-27
	Rep	Dealing in securities	-	2004-08-27