Personnel Hong Kong SFC License Details (ID 104458)

Personnel Hong Kong SFC License Details (ID 104458)

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
PineBridge Investments Asia Limited	RO	Advising on securities	2021-07-09	2022-07-15
	RO	Dealing in securities	2021-07-09	2022-07-15
PineBridge Investments Hong Kong Limited	RO	Dealing in securities	2021-07-09	2022-07-15
PineBridge Investments Asia Limited	Rep	Advising on securities	2011-12-12	2021-07-09
	Rep	Dealing in securities	2011-12-12	2021-07-09
PineBridge Investments Hong Kong Limited	Rep	Dealing in securities	2011-12-12	2021-07-09
BARING ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2008-05-28	2010-03-31
	Rep	Asset management	2008-05-28	2010-03-31
	Rep	Dealing in securities	2008-05-28	2010-03-31
HSBC Global Asset Management (Hong Kong) Limited	Rep	Dealing in securities	2007-05-21	2008-05-07
	Rep	Advising on corporate finance	-	2004-05-06
	Rep	Advising on securities	-	2008-05-07
	Rep	Asset management	-	2008-05-07
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Advising on corporate finance	-	2004-05-06
	Rep	Advising on securities	-	2008-05-07
	Rep	Asset management	-	2008-05-07
	Rep	Dealing in securities	-	2008-05-07