Personnel Hong Kong SFC License Details (ID 1863586)

Personnel Hong Kong SFC License Details (ID 1863586)

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	Dealing in securities	2019-07-26	2021-09-06
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Dealing in securities	2019-07-26	2021-09-06
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on securities	2019-07-10	2021-09-06
	Rep	Asset management	2019-07-10	2021-09-06
HSBC Global Asset Management Holdings (Bahamas) Limited	Rep	Advising on securities	2019-07-10	2020-01-20
	Rep	Asset management	2019-07-10	2020-08-04
HARVEST GLOBAL INVESTMENTS LIMITED	Rep	Advising on securities	2017-12-27	2019-05-31
	Rep	Asset management	2017-12-27	2019-05-31
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2012-03-09	2012-05-05
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2012-03-09	2012-05-05