Personnel Hong Kong SFC License Details (ID 105587)

Personnel Hong Kong SFC License Details (ID 105587)

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
DWS Investments Hong Kong Limited	Rep	Dealing in securities	2023-05-23	2024-06-14
BNY Mellon Investment Management Hong Kong Limited	Rep	Advising on securities	2013-10-29	2022-01-03
	Rep	Dealing in securities	2013-10-29	2022-01-03
NNIP HONG KONG LIMITED	Rep	Advising on securities	2011-10-19	2013-07-26
	Rep	Dealing in securities	2011-10-19	2013-07-26
KBC FINANCIAL PRODUCTS HONG KONG LIMITED	Rep	Dealing in securities	2007-05-16	2009-07-14
BARING ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2007-02-07	2007-05-11
	Rep	Dealing in securities	2007-02-07	2007-05-11
OppenheimerFunds International Distributor Limited	Rep	Advising on securities	2003-12-19	2006-12-31
	Rep	Dealing in securities	2003-12-19	2006-12-31
BLACKROCK (HONG KONG) LIMITED	Rep	Advising on corporate finance	-	2003-05-31
	Rep	Advising on securities	-	2003-05-31
	Rep	Asset management	-	2003-05-31
	Rep	Dealing in securities	-	2003-05-31