Personnel Hong Kong SFC License Details (ID 2296202)

Personnel Hong Kong SFC License Details (ID 2296202)

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
Manulife Investment Management (Hong Kong) Limited	Rep	Advising on securities	2026-07-28	-
	Rep	Asset management	2026-07-28	-
LOMBARD ODIER (HONG KONG) LIMITED	Rep	Advising on securities	2021-03-10	2026-06-30
	Rep	Asset management	2021-03-10	2026-06-30
HARVEST GLOBAL INVESTMENTS LIMITED	Rep	Advising on securities	2017-06-12	2021-02-05
	Rep	Asset management	2017-06-12	2021-02-05
Sanford C. Bernstein (Hong Kong) Limited	Rep	Advising on securities	2014-07-18	2016-07-30
	Rep	Dealing in securities	2014-07-18	2016-07-30