Personnel Hong Kong SFC License Details (ID 11863)

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.

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Current only

Organisation	Role	Activity	From	Until
UBS Asset Management (Hong Kong) Limited	Rep	Advising on securities	2025-11-28	-
	Rep	Asset management	2025-11-28	-
	Rep	Dealing in securities	2025-11-28	-
Allianz Global Investors Asia Pacific Limited (SFC:BFE699)	RO	Asset management	2016-01-04	2025-07-26
	RO	Advising on securities	2015-06-01	2025-07-26
	RO	Dealing in securities	2015-06-01	2025-07-26
Allianz Global Investors Asia Pacific Limited (SFC:AOA171)	RO	Advising on securities	2015-01-27	2015-05-31
	RO	Dealing in securities	2015-01-27	2015-05-31
Allianz Global Investors Hong Kong Limited	RO	Advising on securities	2015-01-27	2015-05-31
	RO	Dealing in securities	2015-01-27	2015-05-31
Allianz Global Investors Asia Pacific Limited (SFC:AOA171)	Rep	Advising on securities	2014-10-29	2015-01-27
	Rep	Dealing in securities	2014-10-29	2015-01-27
Allianz Global Investors Hong Kong Limited	Rep	Advising on securities	2014-10-29	2015-01-27
	Rep	Dealing in securities	2014-10-29	2015-01-27
INVESCO ASSET MANAGEMENT ASIA LIMITED	RO	Dealing in securities	2007-08-29	2014-08-08
INVESCO HONG KONG LIMITED (TRADING AS INVESCO ASIA PACIFIC)	RO	Advising on securities	2007-08-29	2014-08-08
	RO	Dealing in securities	2007-08-29	2014-08-08
INVESCO ASSET MANAGEMENT ASIA LIMITED	Rep	Dealing in securities	2006-09-11	2007-08-29
INVESCO HONG KONG LIMITED (TRADING AS INVESCO ASIA PACIFIC)	Rep	Advising on securities	2006-09-11	2007-08-29
	Rep	Dealing in securities	2006-09-11	2007-08-29
JPMorgan Funds (Asia) Limited	RO	Advising on securities	2005-01-31	2006-08-18
	RO	Asset management	2005-01-31	2006-08-18
	RO	Dealing in securities	2005-01-31	2006-08-18
JPMorgan Asset Management (Asia Pacific) Limited	Rep	Advising on securities	2005-01-06	2006-08-18
	Rep	Asset management	2005-01-06	2006-08-18
JPMorgan Funds (Asia) Limited	Rep	Advising on corporate finance	2003-04-01	2004-01-15
	Rep	Advising on securities	2003-04-01	2004-01-15
	Rep	Asset management	2003-04-01	2004-01-15
	Rep	Dealing in securities	2003-04-01	2005-01-31