Personnel Hong Kong SFC License Details (ID 108506)

Personnel Hong Kong SFC License Details (ID 108506)

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
AXA Investment Managers Asia Limited	Rep	Advising on securities	2022-01-24	2022-06-30
	Rep	Asset management	2022-01-24	2022-06-30
	Rep	Dealing in securities	2022-01-24	2022-06-30
SILVERHORN INVESTMENT ADVISORS LIMITED	Rep	Advising on securities	2019-01-10	2019-04-30
	Rep	Dealing in securities	2019-01-10	2019-04-30
CARLYLE HONG KONG EQUITY MANAGEMENT LIMITED	RO	Dealing in securities	2012-04-30	2013-12-31
Paulson Asia Limited	RO	Dealing in securities	2011-02-21	2012-02-16
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	-	2004-02-11
	Rep	Advising on securities	-	2004-02-11
	Rep	Providing automated trading services	-	2004-02-11
	Rep	Dealing in securities	-	2008-07-07
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	-	2004-02-11
	Rep	Dealing in futures contracts	-	2008-07-07