Personnel Hong Kong SFC License Details (ID 114525)

Personnel Hong Kong SFC License Details (ID 114525)

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
SCHRODER INVESTMENT MANAGEMENT (HONG KONG) LIMITED	RO	Advising on securities	2018-10-12	2022-12-31
	RO	Dealing in securities	2018-10-12	2022-12-31
	Rep	Advising on securities	2018-04-17	2018-10-12
	Rep	Dealing in securities	2018-04-17	2018-10-12
Schroder Adveq Management (Hong Kong) Limited	RO	Advising on securities	2013-01-02	2019-05-08
	RO	Dealing in securities	2013-01-02	2019-05-08
RAB CAPITAL (ASIA) LIMITED	RO	Advising on futures contracts	2010-08-23	2010-10-21
	RO	Advising on securities	2010-08-23	2011-08-25
	RO	Asset management	2010-08-23	2011-08-25
	RO	Dealing in securities	2010-08-23	2011-08-25