Personnel Hong Kong SFC License Details (ID 128644)

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.

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Current only

Organisation	Role	Activity	From	Until
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on futures contracts	2021-12-23	2022-05-13
	Rep	Advising on securities	2021-12-23	2022-05-13
	Rep	Asset management	2021-12-23	2022-05-13
	Rep	Dealing in futures contracts	2021-12-23	2022-05-13
	Rep	Dealing in securities	2021-12-23	2022-05-13
HSBC Global Asset Management Holdings (Bahamas) Limited	Rep	Asset management	2021-12-23	2022-05-13
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Advising on futures contracts	2021-12-23	2022-05-13
	Rep	Advising on securities	2021-12-23	2022-05-13
	Rep	Asset management	2021-12-23	2022-05-13
	Rep	Dealing in securities	2021-12-23	2022-05-13
HSBC Global Asset Management (Hong Kong) Limited	RO	Advising on futures contracts	2018-08-07	2021-12-23
	RO	Dealing in futures contracts	2018-08-07	2021-12-23
HSBC Global Asset Management Holdings (Bahamas) Limited	RO	Advising on futures contracts	2018-08-07	2020-03-02
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	RO	Advising on futures contracts	2018-08-07	2021-12-23
HSBC Global Asset Management (Hong Kong) Limited	RO	Advising on securities	2014-06-25	2021-12-23
	RO	Asset management	2014-06-25	2021-12-23
	RO	Dealing in securities	2014-06-25	2021-12-23
HSBC Global Asset Management Holdings (Bahamas) Limited	RO	Advising on securities	2014-06-25	2020-03-02
	RO	Asset management	2014-06-25	2021-12-23
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	RO	Advising on securities	2014-06-25	2021-12-23
	RO	Asset management	2014-06-25	2021-12-23
	RO	Dealing in securities	2014-06-25	2021-12-23
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on securities	2014-06-12	2014-06-25
	Rep	Asset management	2014-06-12	2014-06-25
	Rep	Dealing in securities	2014-06-12	2014-06-25
HSBC Global Asset Management Holdings (Bahamas) Limited	Rep	Advising on securities	2014-06-12	2014-06-25
	Rep	Asset management	2014-06-12	2014-06-25
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Advising on securities	2014-06-12	2014-06-25
	Rep	Asset management	2014-06-12	2014-06-25
	Rep	Dealing in securities	2014-06-12	2014-06-25
Halbis Capital Management (Hong Kong) Limited	Rep	Dealing in securities	2009-09-28	2009-10-12
HSBC Global Asset Management (Hong Kong) Limited	Rep	Dealing in securities	2009-09-28	2009-10-12
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Dealing in securities	2009-09-28	2009-10-12