Personnel Hong Kong SFC License Details (ID 130366)

Personnel Hong Kong SFC License Details (ID 130366)

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
KKR Capital Markets Asia II Limited	Rep	Advising on securities	2024-06-12	-
	Rep	Dealing in securities	2024-06-12	-
KKR CAPITAL MARKETS ASIA LIMITED	Rep	Advising on securities	2022-10-10	2024-06-11
	Rep	Dealing in securities	2022-10-10	2024-06-11
AXA Investment Managers Asia Limited	Rep	Advising on securities	2016-04-19	2022-07-15
	Rep	Dealing in securities	2016-04-19	2022-07-15
AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED (TRADING AS AXA ROSENBERG ASIA PACIFIC; AXA INVESTMENT MANAGERS)	Rep	Advising on securities	2016-04-19	2019-01-31
	Rep	Dealing in securities	2016-04-19	2019-01-31
BLACKROCK (HONG KONG) LIMITED	Rep	Advising on securities	2013-04-15	2014-09-05
	Rep	Asset management	2013-04-15	2014-09-05
	Rep	Dealing in securities	2013-04-15	2014-09-05
BlackRock Asset Management North Asia Limited	Rep	Advising on securities	2013-04-15	2014-09-05
	Rep	Asset management	2013-04-15	2014-09-05
	Rep	Dealing in securities	2013-04-15	2014-09-05
BLACKROCK (HONG KONG) LIMITED	Rep	Dealing in securities	2010-09-29	2011-07-31
BlackRock Asset Management North Asia Limited	Rep	Advising on securities	2010-09-29	2011-07-31