Personnel Hong Kong SFC License Details (ID 13694787)

Personnel Hong Kong SFC License Details (ID 13694787)

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
NORTHERN TRUST COMPANY OF HONG KONG LIMITED, THE	Rep	Advising on securities	2022-05-27	-
	Rep	Dealing in securities	2022-05-27	-
Nomura Asset Management Hong Kong Limited	Rep	Dealing in securities	2020-07-06	2022-04-09
	Rep	Advising on securities	2020-05-27	2022-04-09
	Rep	Asset management	2020-05-27	2022-04-09
CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2019-12-17	2020-05-08
	Rep	Asset management	2019-12-17	2020-05-08
Bosera Asset Management (International) Co., Limited	Rep	Advising on securities	2018-04-09	2018-11-20
	Rep	Asset management	2018-04-09	2018-11-20
	Rep	Dealing in securities	2018-04-09	2018-11-20