Personnel Hong Kong SFC License Details (ID 104662)

Personnel Hong Kong SFC License Details (ID 104662)

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
LAZARD ASSET MANAGEMENT (HONG KONG) LIMITED	RO	Advising on securities	2014-08-18	2016-02-10
	RO	Dealing in securities	2014-08-18	2016-02-10
AllianceBernstein Hong Kong Limited	RO	Advising on securities	2006-06-16	2011-04-08
	RO	Asset management	2006-06-16	2011-04-08
	Rep	Advising on futures contracts	2006-06-09	2011-04-08
	Rep	Dealing in securities	2006-06-09	2011-04-08
	Rep	Advising on securities	2005-01-19	2006-06-16
	Rep	Asset management	2005-01-19	2006-06-16
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on corporate finance	-	2004-05-05
	Rep	Advising on securities	-	2005-01-19
	Rep	Asset management	-	2005-01-19