Personnel Hong Kong SFC License Details (ID 107769)

Personnel Hong Kong SFC License Details (ID 107769)

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
HSBC Global Asset Management (Hong Kong) Limited	RO	Advising on futures contracts	2010-07-26	2011-07-15
	RO	Advising on securities	2010-07-26	2011-07-15
	RO	Asset management	2010-07-26	2011-07-15
	RO	Dealing in securities	2010-07-26	2011-07-15
SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED	RO	Dealing in securities	2007-05-15	2011-07-15
	RO	Advising on futures contracts	2006-09-19	2011-07-15
	RO	Advising on securities	2006-09-19	2011-07-15
	RO	Asset management	2006-09-19	2011-07-15
	Rep	Advising on futures contracts	2005-03-16	2006-09-19
	Rep	Advising on securities	2005-03-16	2006-09-19
	Rep	Asset management	2005-03-16	2006-09-19
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Dealing in securities	2004-08-10	2005-03-15
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on corporate finance	-	2004-05-06
	Rep	Advising on futures contracts	-	2005-03-15
	Rep	Advising on securities	-	2005-03-15
	Rep	Asset management	-	2005-03-15