Personnel Hong Kong SFC License Details (ID 129483)

Personnel Hong Kong SFC License Details (ID 129483)

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
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on securities	2023-07-26	2023-08-11
	Rep	Dealing in securities	2023-07-26	2023-08-11
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Advising on securities	2023-07-26	2023-08-11
	Rep	Dealing in securities	2023-07-26	2023-08-11
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on futures contracts	2014-11-25	2022-10-07
	Rep	Advising on securities	2014-11-25	2022-10-07
	Rep	Asset management	2014-11-25	2022-10-07
	Rep	Dealing in securities	2014-11-25	2022-10-07
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Dealing in securities	2014-11-25	2022-10-07
HSBC Global Asset Management (Hong Kong) Limited	Rep	Dealing in securities	2012-09-10	2012-09-24
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Dealing in securities	2012-09-10	2012-09-24
Halbis Capital Management (Hong Kong) Limited	Rep	Dealing in securities	2010-11-24	2010-12-08
HSBC Global Asset Management (Hong Kong) Limited	Rep	Dealing in securities	2010-11-24	2010-12-08
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Dealing in securities	2010-11-24	2010-12-08
Halbis Capital Management (Hong Kong) Limited	Rep	Dealing in securities	2010-03-16	2010-03-29
HSBC Global Asset Management (Hong Kong) Limited	Rep	Dealing in securities	2010-03-16	2010-03-29
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Dealing in securities	2010-03-16	2010-03-29