Personnel Hong Kong SFC License Details (ID 2460748)

Personnel Hong Kong SFC License Details (ID 2460748)

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
WELLINGTON MANAGEMENT HONG KONG LIMITED	Rep	Advising on securities	2022-06-27	2025-09-26
	Rep	Dealing in securities	2022-06-27	2025-09-26
AllianceBernstein Hong Kong Limited	Rep	Advising on securities	2020-05-12	2022-03-21
	Rep	Dealing in securities	2020-05-12	2022-03-21
PIMCO Asia Limited	Rep	Dealing in securities	2017-03-22	2018-04-27
Credit Suisse (Hong Kong) Limited	Rep	Dealing in futures contracts	2017-01-17	2017-02-23
	Rep	Dealing in securities	2017-01-17	2017-02-23
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2015-08-11	2016-05-16
	Rep	Advising on securities	2015-08-11	2016-05-16
	Rep	Dealing in futures contracts	2015-08-11	2016-05-16
	Rep	Dealing in securities	2015-08-11	2016-05-16