Personnel Hong Kong SFC License Details (ID 112783)

Personnel Hong Kong SFC License Details (ID 112783)

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
SHENWAN HONGYUAN ASSET MANAGEMENT (ASIA) LIMITED	RO	Advising on securities	2017-06-28	2018-12-27
	RO	Asset management	2017-06-28	2018-12-27
	Rep	Advising on securities	2017-04-11	2017-06-28
	Rep	Asset management	2017-04-11	2017-06-28
Shinhan Asset Management (Hong Kong) Limited	RO	Advising on securities	2011-01-31	2017-03-31
	RO	Asset management	2011-01-31	2017-03-31
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2009-09-08	2011-01-01
SHENWAN HONGYUAN ASSET MANAGEMENT (ASIA) LIMITED	RO	Advising on securities	2009-07-21	2011-01-01
	RO	Asset management	2009-07-21	2011-01-01
	Rep	Advising on securities	2009-04-27	2009-07-21
	Rep	Asset management	2009-04-27	2009-07-21
CHINA EVERBRIGHT ASSETS MANAGEMENT LIMITED	Rep	Asset management	2007-03-08	2007-10-06
BROOKE CAPITAL LIMITED	Rep	Asset management	2005-12-29	2006-10-16
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on securities	2003-08-15	2004-09-01