Personnel Hong Kong SFC License Details (ID 2361022)

Personnel Hong Kong SFC License Details (ID 2361022)

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
ALLSPRING GLOBAL INVESTMENTS (HONG KONG) LIMITED	RO	Advising on securities	2024-06-20	2024-09-27
	RO	Dealing in securities	2024-06-20	2024-09-27
	Rep	Advising on securities	2023-05-02	2024-06-20
	Rep	Dealing in securities	2023-05-02	2024-06-20
Wells Fargo Securities Asia Limited	Rep	Advising on securities	2016-03-14	2022-03-31
	Rep	Asset management	2016-03-14	2022-03-31
	Rep	Dealing in securities	2016-03-14	2022-03-31
HANG SENG INVESTMENT MANAGEMENT LIMITED	Rep	Advising on securities	2014-12-18	2015-11-07
	Rep	Asset management	2014-12-18	2015-11-07
	Rep	Dealing in securities	2014-12-18	2015-11-07