Personnel Hong Kong SFC License Details (ID 126846)

Personnel Hong Kong SFC License Details (ID 126846)

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	2019-02-22	-
	Rep	Dealing in securities	2019-02-22	-
PRINCIPAL INVESTMENT &AMP; RETIREMENT SERVICES LIMITED	Rep	Advising on securities	2016-07-18	2018-10-31
	Rep	Dealing in securities	2016-07-18	2018-10-31
GUOTAI JUNAN ASSETS (ASIA) LIMITED	Rep	Asset management	2016-02-12	2016-06-12
	Rep	Advising on securities	2014-08-29	2016-06-12
	Rep	Dealing in securities	2014-08-29	2016-06-12
iFAST Financial (HK) Limited	Rep	Advising on securities	2013-07-24	2013-08-16
iFAST Global Markets (HK) Limited	Rep	Advising on securities	2013-07-24	2013-09-24
AMPLE CAPITAL LIMITED	Rep	Advising on securities	2008-10-02	2009-02-18
	Rep	Asset management	2008-10-02	2009-02-18