Personnel SFC Licences and HKMA Registrations (ID 130228)

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
LAZARD ASSET MANAGEMENT (HONG KONG) LIMITED	RO	Advising on securities	2023-04-17	-
	RO	Dealing in securities	2023-04-17	-
	Rep	Advising on securities	2018-08-21	2023-04-17
	Rep	Dealing in securities	2018-08-21	2023-04-17
Bosera Asset Management (International) Co., Limited	Rep	Advising on securities	2014-07-30	2016-12-06
	Rep	Asset management	2014-07-30	2016-12-06
	Rep	Dealing in securities	2014-07-30	2016-12-06
FIL Investment Management (Hong Kong) Limited	Rep	Advising on securities	2013-12-16	2013-12-31
	Rep	Dealing in securities	2013-12-16	2013-12-31
Pyramis Global Advisors (Hong Kong) Limited	Rep	Dealing in securities	2010-08-25	2013-11-01

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.