Personnel Hong Kong SFC License Details (ID 120109)

Personnel Hong Kong SFC License Details (ID 120109)

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
Manulife Investment Management (Hong Kong) Limited	Rep	Advising on securities	2019-07-24	2022-12-30
	Rep	Asset management	2019-07-24	2022-12-30
	Rep	Dealing in securities	2019-07-24	2022-12-30
Wells Fargo Securities Asia Limited	Rep	Advising on securities	2017-07-18	2018-05-31
JVSakk Asset Management Limited	Rep	Advising on securities	2014-06-10	2016-04-30
	Rep	Asset management	2014-06-10	2016-04-30
Wells Fargo Securities Asia Limited	Rep	Advising on securities	2012-06-26	2014-05-16
SEI INVESTMENTS (ASIA) LIMITED	Rep	Advising on securities	2007-09-21	2011-08-20
	Rep	Asset management	2007-09-21	2011-08-20
Oreana Financial Services Limited	Rep	Advising on securities	2007-01-10	2007-06-09
	Rep	Asset management	2007-01-10	2007-06-09