Personnel Hong Kong SFC License Details (ID 111767)

Personnel Hong Kong SFC License Details (ID 111767)

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
Amundi Hong Kong Limited	Rep	Advising on securities	2015-08-14	2016-12-27
	Rep	Asset management	2015-08-14	2016-12-27
	Rep	Dealing in securities	2015-08-14	2016-12-27
Vanguard Investments Hong Kong Limited	Rep	Advising on securities	2012-02-23	2012-03-01
	Rep	Dealing in securities	2012-02-23	2012-03-01
STATE STREET GLOBAL ADVISORS ASIA LIMITED	Rep	Advising on corporate finance	2011-05-23	2011-08-28
	Rep	Advising on securities	2011-05-23	2011-08-28
	Rep	Dealing in securities	2011-05-23	2011-08-28
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2010-12-07	2011-03-09
	Rep	Advising on securities	2009-04-17	2011-03-09
	Rep	Dealing in securities	2009-04-17	2011-03-09
Aberdeen International Investment Management Limited	Rep	Dealing in securities	2008-07-11	2009-04-30
	Rep	Advising on securities	2008-06-04	2009-04-30
BlackRock Asset Management North Asia Limited	Rep	Advising on corporate finance	-	2003-10-18
	Rep	Advising on securities	-	2007-12-31