Personnel Hong Kong SFC License Details (ID 2313512)

Personnel Hong Kong SFC License Details (ID 2313512)

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
TCW ASIA LIMITED	Rep	Dealing in securities	2026-04-23	-
	Rep	Asset management	2026-04-14	-
WFM Asia (HK) Limited	Rep	Asset management	2026-01-30	2026-03-20
TCW ASIA LIMITED	Rep	Asset management	2023-06-09	2025-12-03
	Rep	Dealing in securities	2023-05-24	2025-12-03
MAN INVESTMENTS (HONG KONG) LIMITED	Rep	Advising on securities	2015-10-09	2023-03-08
	Rep	Dealing in securities	2015-10-09	2023-03-08
BROWN BROTHERS HARRIMAN (HONG KONG) LIMITED	Rep	Dealing in securities	2014-08-28	2015-05-30