Personnel Hong Kong SFC License Details (ID 121867)

Personnel Hong Kong SFC License Details (ID 121867)

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
China Universal Asset Management (Hong Kong) Company Limited	RO	Advising on securities	2022-04-13	2024-04-04
	RO	Asset management	2022-04-13	2024-04-04
	Rep	Advising on securities	2021-11-17	2022-04-13
	Rep	Asset management	2021-11-17	2022-04-13
ICBC Asset Management (Global) Company Limited	RO	Advising on securities	2019-02-21	2021-11-02
	RO	Asset management	2019-02-21	2021-11-02
	Rep	Advising on securities	2017-09-22	2019-02-21
	Rep	Asset management	2017-09-22	2019-02-21
BOCOM International Asset Management Limited	Rep	Advising on securities	2015-08-20	2017-08-16
	Rep	Asset management	2015-08-20	2017-08-16
	Rep	Dealing in securities	2015-08-20	2017-08-16
MARCO POLO PURE ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2009-11-30	2011-08-15
	Rep	Asset management	2009-10-30	2011-08-15
Foundation Asset Management (HK) Limited	Rep	Asset management	2008-07-08	2009-08-21
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2007-06-22	2008-03-06
	Rep	Dealing in securities	2007-06-22	2008-03-06
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2007-06-22	2008-03-06