Personnel Hong Kong SFC License Details (ID 2113586)

Personnel Hong Kong SFC License Details (ID 2113586)

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
Neuberger Berman Asia Limited	Rep	Advising on securities	2021-06-09	-
	Rep	Dealing in securities	2021-06-09	-
Polen Capital HK Limited	Rep	Advising on securities	2018-09-11	2021-05-23
	Rep	Asset management	2018-09-11	2021-05-23
	Rep	Dealing in securities	2018-09-11	2021-05-23
CSOP Asset Management Limited	Rep	Advising on securities	2017-09-29	2018-09-10
	Rep	Asset management	2017-09-29	2018-09-10
	Rep	Dealing in securities	2017-09-29	2018-09-10
JPMorgan Funds (Asia) Limited	Rep	Dealing in securities	2015-04-01	2017-09-15
CASH ASSET MANAGEMENT LIMITED	Rep	Asset management	2013-12-02	2015-02-28
CELESTIAL COMMODITIES LIMITED	Rep	Dealing in futures contracts	2013-08-08	2015-02-28
CELESTIAL SECURITIES LIMITED	Rep	Dealing in securities	2013-08-08	2015-02-28