Personnel Hong Kong SFC License Details (ID 122500)

Personnel Hong Kong SFC License Details (ID 122500)

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
Nuveen Hong Kong Limited	Rep	Advising on securities	2024-10-02	-
	Rep	Dealing in securities	2024-10-02	-
INVESCO HONG KONG LIMITED (TRADING AS INVESCO ASIA PACIFIC)	Rep	Advising on securities	2018-06-13	2024-08-23
	Rep	Dealing in securities	2018-06-13	2024-08-23
PGIM (Hong Kong) Limited	Rep	Advising on securities	2014-12-29	2018-01-19
	Rep	Dealing in securities	2014-12-29	2018-01-19
DWS Investments Hong Kong Limited	Rep	Advising on securities	2007-08-15	2010-06-01
	Rep	Asset management	2007-08-15	2010-06-01