Personnel Hong Kong SFC License Details (ID 2319945)

Personnel Hong Kong SFC License Details (ID 2319945)

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
SPDB International Investment Management Limited	Rep	Advising on securities	2021-03-31	2025-08-10
	Rep	Asset management	2021-03-31	2025-08-10
CMS ASSET MANAGEMENT (HK) CO., LIMITED	RO	Advising on securities	2018-09-26	2021-02-10
	RO	Asset management	2018-09-26	2021-02-10
AXA Investment Managers Asia Limited	Rep	Advising on securities	2014-09-15	2017-12-15
	Rep	Asset management	2014-09-15	2017-12-15
	Rep	Dealing in securities	2014-09-15	2017-12-15
AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED (TRADING AS AXA ROSENBERG ASIA PACIFIC; AXA INVESTMENT MANAGERS)	Rep	Advising on securities	2014-09-15	2017-08-11
	Rep	Asset management	2014-09-15	2017-08-11
	Rep	Dealing in securities	2014-09-15	2017-08-11