Personnel Hong Kong SFC License Details (ID 136110)

Personnel Hong Kong SFC License Details (ID 136110)

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
UBS Asset Management (Hong Kong) Limited	Rep	Advising on securities	2017-12-22	2021-12-31
	Rep	Asset management	2017-12-22	2021-12-31
	Rep	Dealing in securities	2017-12-22	2021-12-31
Samsung Asset Management (Hong Kong) Limited	Rep	Advising on securities	2015-08-18	2017-07-07
	Rep	Asset management	2015-08-18	2017-07-07
AllianceBernstein Hong Kong Limited	Rep	Advising on futures contracts	2015-07-07	2015-08-10
	Rep	Dealing in futures contracts	2015-07-07	2015-08-10
	Rep	Dealing in securities	2015-07-07	2015-08-10
	Rep	Advising on securities	2013-10-02	2015-08-10
	Rep	Asset management	2013-10-02	2015-08-10
CHINA LIFE FRANKLIN ASSET MANAGEMENT CO., LIMITED	Rep	Advising on securities	2012-01-13	2013-09-13
	Rep	Asset management	2012-01-13	2013-09-13