Personnel Hong Kong SFC License Details (ID 1970209)

Personnel Hong Kong SFC License Details (ID 1970209)

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
HARVEST GLOBAL INVESTMENTS LIMITED	Rep	Advising on securities	2020-03-09	2020-05-15
	Rep	Asset management	2020-03-09	2020-05-15
	Rep	Dealing in securities	2020-03-09	2020-05-15
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on securities	2012-10-24	2015-01-30
	Rep	Asset management	2012-10-24	2015-01-30
	Rep	Dealing in futures contracts	2012-10-24	2015-01-30
	Rep	Dealing in securities	2012-10-24	2015-01-30
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Dealing in securities	2012-10-24	2015-01-30