Personnel Hong Kong SFC License Details (ID 108469)

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
Sun Life Asset Management (HK) Limited	RO	Advising on securities	2018-02-13	2018-06-02
	RO	Asset management	2018-02-13	2018-06-02
	Rep	Advising on securities	2017-07-27	2018-02-13
	Rep	Asset management	2017-07-27	2018-02-13
TAIPING ASSETS MANAGEMENT (HK) COMPANY LIMITED	RO	Advising on securities	2016-11-14	2017-07-26
	RO	Asset management	2016-11-14	2017-07-26
	Rep	Advising on securities	2013-09-23	2016-11-14
	Rep	Asset management	2013-09-23	2016-11-14
ABCI ASSET MANAGEMENT LIMITED	RO	Asset management	2013-02-18	2013-09-20
	Rep	Asset management	2012-12-18	2013-02-18
RAYLIANT ASSET MANAGEMENT LIMITED	RO	Asset management	2012-02-20	2012-11-26
HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED	Rep	Advising on futures contracts	2010-11-16	2011-08-20
	Rep	Advising on securities	2010-11-16	2011-08-20
	Rep	Asset management	2010-11-16	2011-08-20
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2009-06-22	2011-08-20
	Rep	Advising on securities	2009-06-22	2011-08-20
	Rep	Asset management	2009-06-22	2011-08-20
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	Rep	Advising on securities	2009-06-22	2011-08-20
	Rep	Asset management	2009-06-22	2011-08-20
QUAM ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2008-06-24	2008-09-19
	Rep	Asset management	2008-06-24	2008-09-19
BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2007-07-26	2008-01-29
	Rep	Advising on securities	2007-06-25	2008-01-29
	Rep	Asset management	2007-06-25	2008-01-29
	Rep	Dealing in securities	2007-06-25	2008-01-29
SUMITOMO MITSUI DS ASSET MANAGEMENT (HONG KONG) LIMITED	Rep	Advising on securities	2007-05-08	2007-05-11
	Rep	Dealing in securities	2007-05-08	2007-05-11
	Rep	Asset management	2004-12-21	2007-05-11
CGS International Securities Hong Kong Limited	Rep	Advising on securities	2003-12-30	2004-08-12
	Rep	Dealing in securities	2003-10-15	2004-08-12
CES Private (HK) Limited	Rep	Advising on corporate finance	-	2003-09-26
	Rep	Advising on securities	-	2003-09-26
	Rep	Asset management	-	2003-09-26