Personnel Hong Kong SFC License Details (ID 122772)

Personnel Hong Kong SFC License Details (ID 122772)

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
Mackenzie Investments Asia Limited	Rep	Asset management	2023-01-10	-
	Rep	Dealing in securities	2023-01-10	-
DWS Investments Hong Kong Limited	RO	Dealing in futures contracts	2022-04-26	2023-01-06
	RO	Dealing in securities	2022-04-26	2023-01-06
	Rep	Dealing in futures contracts	2021-12-22	2022-04-26
	Rep	Dealing in securities	2021-12-22	2022-04-26
Allianz Global Investors Asia Pacific Limited (SFC:BFE699)	Rep	Asset management	2015-07-28	2021-12-17
	Rep	Dealing in futures contracts	2015-07-28	2021-12-17
	Rep	Dealing in securities	2015-07-28	2021-12-17
Polen Capital HK Limited	Rep	Advising on securities	2012-10-09	2015-06-07
	Rep	Dealing in securities	2012-10-09	2015-06-07
LLOYD GEORGE INVESTMENT MANAGEMENT (HONG KONG) LIMITED	Rep	Advising on securities	2012-07-19	2012-10-31
	Rep	Dealing in securities	2012-07-19	2012-10-31
HBK HONG KONG LIMITED	Rep	Asset management	2007-09-07	2008-09-30