Personnel Hong Kong SFC License Details (ID 113423)

Personnel Hong Kong SFC License Details (ID 113423)

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
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on securities	2021-04-27	2022-02-25
	Rep	Asset management	2021-04-27	2022-02-25
	Rep	Dealing in securities	2021-04-27	2022-02-25
CHINA LIFE FRANKLIN ASSET MANAGEMENT CO., LIMITED	Rep	Advising on securities	2008-10-27	2011-07-31
	Rep	Asset management	2008-07-31	2011-07-31
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED	Rep	Advising on securities	2007-03-06	2008-05-01
	Rep	Asset management	2007-03-06	2008-05-01
Legg Mason Asset Management Hong Kong Limited	Rep	Dealing in securities	2005-12-01	2007-03-01
	Rep	Advising on futures contracts	2004-09-22	2006-05-26
	Rep	Asset management	2004-09-22	2007-03-01
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	Rep	Advising on futures contracts	2004-09-22	2006-05-26
	Rep	Asset management	2004-09-22	2007-03-01
Legg Mason Asset Management Hong Kong Limited	Rep	Advising on securities	2004-02-02	2007-03-01
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	Rep	Advising on securities	2004-02-02	2007-03-01
	Rep	Dealing in securities	2004-02-02	2007-03-01