Personnel Hong Kong SFC License Details (ID 107188)

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

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Current only

Organisation	Role	Activity	From	Until
CBH Asia Limited	Rep	Advising on securities	2026-07-06	-
	Rep	Asset management	2026-07-06	-
	Rep	Dealing in securities	2026-07-06	-
	RO	Advising on futures contracts	2025-08-13	-
	RO	Dealing in futures contracts	2025-08-13	-
	RO	Advising on securities	2025-08-13	2026-07-06
	RO	Asset management	2025-08-13	2026-07-06
	RO	Dealing in securities	2025-08-13	2026-07-06
LGT INVESTMENT MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2022-07-04	2024-03-01
	Rep	Asset management	2022-07-04	2024-03-01
	Rep	Dealing in securities	2022-07-04	2024-03-01
PineBridge Investments Asia Limited	RO	Advising on securities	2018-04-20	2020-12-31
	RO	Asset management	2018-04-20	2020-12-31
	RO	Dealing in securities	2018-04-20	2020-12-31
PineBridge Investments Hong Kong Limited	RO	Asset management	2018-04-20	2020-12-31
	RO	Dealing in securities	2018-04-20	2020-12-31
PineBridge Investments Asia Limited	Rep	Advising on securities	2017-04-27	2018-04-20
	Rep	Asset management	2017-04-27	2018-04-20
	Rep	Dealing in securities	2017-04-27	2018-04-20
PineBridge Investments Hong Kong Limited	Rep	Asset management	2017-04-27	2018-04-20
	Rep	Dealing in securities	2017-04-27	2018-04-20
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on securities	2012-11-26	2016-12-09
	Rep	Asset management	2012-11-26	2016-12-09
	Rep	Dealing in securities	2012-11-26	2016-12-09
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Dealing in securities	2012-11-26	2016-12-09
CLSA RESEARCH LIMITED	Rep	Advising on securities	2003-04-01	2005-10-21