Personnel SFC Licences and HKMA Registrations (ID 120076)

Key Data Licences & registrations 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
BEA Union Investment Management Limited	RO	Advising on securities	2022-08-10	-
	RO	Asset management	2022-08-10	-
	RO	Dealing in securities	2022-08-10	-
	Rep	Advising on securities	2022-05-18	2022-08-10
	Rep	Asset management	2022-05-18	2022-08-10
	Rep	Dealing in securities	2022-05-18	2022-08-10
Conning Asia Pacific Limited	RO	Advising on securities	2020-06-01	2022-04-30
	RO	Asset management	2020-06-01	2022-04-30
	RO	Dealing in securities	2020-06-01	2022-04-30
	Rep	Dealing in securities	2019-12-18	2020-06-01
	Rep	Advising on securities	2019-11-01	2020-06-01
	Rep	Asset management	2019-11-01	2020-06-01
MOUNT LOGAN CAPITAL LIMITED	RO	Advising on securities	2016-08-01	2019-10-18
	RO	Asset management	2016-08-01	2019-10-18
PineBridge Investments Asia Limited	RO	Advising on securities	2013-03-11	2015-12-31
	RO	Asset management	2013-03-11	2015-12-31
	RO	Dealing in securities	2013-03-11	2015-12-31
PineBridge Investments Hong Kong Limited	RO	Asset management	2013-03-11	2015-12-31
	RO	Dealing in securities	2013-03-11	2015-12-31
PineBridge Investments Asia Limited	Rep	Advising on securities	2011-10-14	2013-03-11
	Rep	Asset management	2011-10-14	2013-03-11
	Rep	Dealing in securities	2011-10-14	2013-03-11
PineBridge Investments Hong Kong Limited	Rep	Asset management	2011-10-14	2013-03-11
	Rep	Dealing in securities	2011-10-14	2013-03-11
BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED	Rep	Advising on securities	2008-06-02	2011-05-24
	Rep	Asset management	2008-06-02	2011-05-24
FORTIS INVESTMENT MANAGEMENT HONG KONG LIMITED	Rep	Advising on securities	2007-01-29	2008-08-15
	Rep	Asset management	2007-01-29	2008-08-15

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.