Personnel Hong Kong SFC License Details (ID 107951)

Personnel Hong Kong SFC License Details (ID 107951)

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
Chinese Strategic Asset Management Limited	Rep	Advising on securities	2015-01-13	2017-02-28
	Rep	Asset management	2015-01-13	2017-02-28
LOMBARD ODIER (HONG KONG) LIMITED	Rep	Advising on securities	2012-10-10	2014-12-12
	Rep	Dealing in securities	2012-10-10	2014-12-12
Julius Baer (Hong Kong) Limited	Rep	Advising on securities	2009-07-13	2011-06-13
	Rep	Dealing in securities	2009-06-11	2011-06-13
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2007-07-16	2009-05-27
UBS SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	-	2003-06-25
	Rep	Advising on securities	-	2003-06-25
	Rep	Asset management	-	2003-06-25