Personnel Hong Kong SFC License Details (ID 116636)

Personnel Hong Kong SFC License Details (ID 116636)

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
GEOMATRIX (H.K.) LIMITED	Rep	Advising on securities	2009-10-14	2011-06-13
	Rep	Asset management	2009-10-14	2011-06-13
Oasis Management (Hong Kong)	Rep	Advising on futures contracts	2007-07-27	2009-02-09
	Rep	Advising on securities	2007-07-27	2009-02-09
	Rep	Asset management	2007-07-27	2009-02-09
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2006-01-09	2007-05-25
	Rep	Dealing in securities	2006-01-09	2007-05-25
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2006-01-09	2007-05-25
	Rep	Dealing in futures contracts	2006-01-09	2007-05-25
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on securities	2005-08-18	2005-11-02
	Rep	Asset management	2005-08-18	2005-11-02
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Dealing in securities	2005-08-18	2005-11-02