Personnel Hong Kong SFC License Details (ID 112203)

Personnel Hong Kong SFC License Details (ID 112203)

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
Nexus Investment Advisors Limited	Rep	Advising on securities	2023-10-11	-
	Rep	Asset management	2023-09-18	-
HPS Investment Partners (HK), Limited	RO	Dealing in securities	2021-12-21	2023-09-15
	RO	Asset management	2019-01-10	2023-09-15
	Rep	Asset management	2018-11-13	2019-01-10
LEGAL &AMP; GENERAL INVESTMENT MANAGEMENT ASIA LIMITED	RO	Dealing in securities	2017-01-25	2018-10-14
	Rep	Dealing in securities	2016-01-07	2017-01-25
	Rep	Asset management	2016-01-07	2018-10-14
Morgan Stanley Asia Limited	Rep	Dealing in securities	2007-09-03	2009-03-09
Morgan Stanley Hong Kong Futures Limited	Rep	Dealing in futures contracts	2007-09-03	2009-03-09
C F C SECURITIES LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-03-30
	Rep	Advising on securities	2003-04-01	2004-03-30
	Rep	Asset management	2003-04-01	2004-03-30
	Rep	Dealing in securities	2003-04-01	2004-07-20