Personnel SFC Licences and HKMA Registrations (ID 124226)

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
BARING ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2016-03-30	-
	Rep	Dealing in securities	2016-03-30	-
STATE STREET GLOBAL ADVISORS ASIA LIMITED	Rep	Advising on securities	2010-09-08	2011-01-29
	Rep	Asset management	2010-09-08	2011-01-29
	Rep	Dealing in securities	2010-09-08	2011-01-29
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on securities	2008-01-25	2010-09-01
	Rep	Asset management	2008-01-25	2010-09-01
	Rep	Dealing in securities	2008-01-25	2010-09-01
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Advising on securities	2008-01-25	2010-09-01
	Rep	Asset management	2008-01-25	2010-09-01
	Rep	Dealing in securities	2008-01-25	2010-09-01

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.