Personnel Hong Kong SFC License Details (ID 122133)

Personnel Hong Kong SFC License Details (ID 122133)

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
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on corporate finance	2025-12-24	-
	Rep	Advising on securities	2025-12-24	-
	Rep	Dealing in securities	2025-12-24	-
Springhill Fund Asset Management (HK) Company Limited	RO	Asset management	2021-05-21	2025-09-26
	Rep	Asset management	2021-02-25	2021-05-21
FIDELITY MANAGEMENT &AMP; RESEARCH (HONG KONG) LIMITED (TRADING AS FIDELITY INVESTMENTS)	Rep	Advising on futures contracts	2013-08-13	2013-12-19
	Rep	Advising on securities	2013-08-13	2021-01-31
	Rep	Asset management	2013-08-13	2021-01-31
CLSA RESEARCH LIMITED	Rep	Advising on securities	2010-01-25	2011-06-10
KGI ASIA LIMITED	Rep	Advising on securities	2008-08-08	2010-01-22
Credit Suisse (Hong Kong) Limited	Rep	Dealing in securities	2007-07-18	2008-01-24
Credit Suisse Futures (Hong Kong) Limited	Rep	Providing automated trading services	2007-07-18	2008-01-24
	Rep	Dealing in futures contracts	2007-07-18	2008-01-24
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2007-07-18	2008-01-24