Personnel Hong Kong SFC License Details (ID 124453)

Personnel Hong Kong SFC License Details (ID 124453)

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
Neuberger Berman Asia Limited	Rep	Advising on securities	2024-06-03	2024-06-07
	Rep	Dealing in securities	2024-06-03	2024-06-07
	Rep	Advising on securities	2019-01-10	2021-08-02
	Rep	Asset management	2019-01-10	2021-08-02
	Rep	Dealing in securities	2019-01-10	2021-08-02
Providence Equity Asia Limited	Rep	Advising on securities	2010-12-20	2016-05-20
	Rep	Dealing in securities	2010-12-20	2016-05-20
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2008-02-25	2010-11-08
	Rep	Advising on securities	2008-02-25	2010-11-08
	Rep	Dealing in securities	2008-02-25	2010-11-08
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2008-02-25	2010-11-08
	Rep	Advising on securities	2008-02-25	2010-11-08
	Rep	Dealing in securities	2008-02-25	2010-11-08