Personnel Hong Kong SFC License Details (ID 123097)

Personnel Hong Kong SFC License Details (ID 123097)

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
Moody's Investors Service Hong Kong Limited	Rep	Providing credit rating services	2019-02-11	2020-06-10
Deepwater Capital Limited	Rep	Advising on securities	2018-01-05	2018-12-15
	Rep	Asset management	2018-01-05	2018-12-15
Broadshine Asset Management Limited	RO	Advising on securities	2017-05-23	2017-09-29
	RO	Asset management	2017-05-23	2017-09-29
Allianz Global Investors Asia Pacific Limited (SFC:BFE699)	Rep	Advising on securities	2015-06-01	2016-03-19
	Rep	Asset management	2015-06-01	2016-03-19
Allianz Global Investors Asia Pacific Limited (SFC:AOA171)	Rep	Advising on securities	2011-10-26	2015-05-31
	Rep	Asset management	2011-10-26	2015-05-31
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on securities	2009-03-11	2011-03-25
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on securities	2007-10-04	2008-09-29