Personnel Hong Kong SFC License Details (ID 112557)

Personnel Hong Kong SFC License Details (ID 112557)

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
Conning Asia Pacific Limited	Rep	Advising on securities	2019-08-01	2021-07-15
	Rep	Asset management	2019-08-01	2021-07-15
	Rep	Dealing in securities	2019-08-01	2021-07-15
Long Trends Securities Limited	RO	Asset management	2018-03-07	2019-06-30
	RO	Advising on securities	2017-03-17	2019-06-30
	RO	Dealing in securities	2017-03-17	2019-06-30
Phalanx Capital Management Hong Kong Limited	Rep	Asset management	2009-08-20	2009-09-16
TC Investment Management (Asia) Limited	Rep	Advising on futures contracts	2004-06-11	2004-11-26
	Rep	Asset management	2003-05-26	2004-11-26