Personnel Hong Kong SFC License Details (ID 2436438)

Personnel Hong Kong SFC License Details (ID 2436438)

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
HSBC Global Asset Management (Hong Kong) Limited	RO	Advising on securities	2021-01-28	-
	RO	Asset management	2021-01-28	-
	RO	Dealing in securities	2021-01-28	-
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	RO	Advising on securities	2021-01-28	-
	RO	Asset management	2021-01-28	-
	RO	Dealing in securities	2021-01-28	-
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on futures contracts	2020-10-08	-
	Rep	Dealing in securities	2020-10-08	2021-01-28
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Advising on futures contracts	2020-10-08	-
	Rep	Dealing in securities	2020-10-08	2021-01-28
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on securities	2020-09-11	2021-01-28
	Rep	Asset management	2020-09-11	2021-01-28
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Advising on securities	2020-09-11	2021-01-28
	Rep	Asset management	2020-09-11	2021-01-28
BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED	Rep	Advising on securities	2019-01-01	2020-08-21
	RO	Asset management	2019-01-01	2020-08-21
	RO	Asset management	2017-08-25	2018-12-31
	Rep	Asset management	2015-06-17	2017-08-25
	Rep	Advising on securities	2015-06-17	2018-12-31