Personnel Hong Kong SFC License Details (ID 121053)

Personnel Hong Kong SFC License Details (ID 121053)

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
Morgan Stanley Asia Limited	RO	Advising on securities	2024-02-26	-
	RO	Asset management	2024-02-26	-
	RO	Dealing in securities	2024-02-26	-
	Rep	Advising on securities	2023-07-03	2024-02-26
	Rep	Asset management	2023-07-03	2024-02-26
	Rep	Dealing in securities	2023-07-03	2024-02-26
Credit Suisse (Hong Kong) Limited	RO	Asset management	2017-01-11	2022-01-31
	RO	Advising on securities	2013-04-19	2022-01-31
	RO	Dealing in securities	2012-04-26	2022-01-31
	Rep	Dealing in securities	2011-11-29	2012-04-26
	Rep	Advising on securities	2011-11-29	2013-04-19
Carret Private Capital Limited	RO	Asset management	2007-05-28	2011-09-26