Personnel Hong Kong SFC License Details (ID 120172)

Personnel Hong Kong SFC License Details (ID 120172)

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
ICBC INTERNATIONAL FUND MANAGEMENT LIMITED	RO	Asset management	2017-11-01	2018-08-08
	RO	Advising on securities	2017-10-06	2018-08-08
	RO	Dealing in securities	2017-10-06	2018-08-08
	Rep	Advising on securities	2016-10-12	2017-10-06
	Rep	Dealing in securities	2016-10-12	2017-10-06
	Rep	Asset management	2016-10-12	2017-11-01
ICBC INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2014-04-11	2016-10-12
	Rep	Dealing in securities	2014-04-11	2016-10-12
ICBC INTERNATIONAL FUND MANAGEMENT LIMITED	Rep	Advising on securities	2012-11-26	2014-04-30
	Rep	Asset management	2012-11-26	2014-04-30
	Rep	Dealing in securities	2012-11-26	2014-04-30
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on corporate finance	2012-02-03	2012-03-17
	Rep	Advising on securities	2012-02-03	2012-03-17
	Rep	Dealing in securities	2012-02-03	2012-03-17
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	2006-11-27	2010-04-13
	Rep	Dealing in securities	2006-11-27	2010-04-13