Personnel Hong Kong SFC License Details (ID 2633415)

Personnel Hong Kong SFC License Details (ID 2633415)

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	Rep	Asset management	2023-03-07	-
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Asset management	2023-03-07	-
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on securities	2023-01-31	-
	Rep	Dealing in securities	2023-01-31	-
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Advising on securities	2023-01-31	-
	Rep	Dealing in securities	2023-01-31	-
PineBridge Investments Asia Limited	Rep	Advising on securities	2020-07-08	2022-10-07
	Rep	Dealing in securities	2020-07-08	2022-10-07
PineBridge Investments Hong Kong Limited	Rep	Dealing in securities	2020-07-08	2022-10-07
Legg Mason Asset Management Hong Kong Limited	Rep	Advising on securities	2018-04-23	2020-06-28
	Rep	Dealing in securities	2018-04-23	2020-06-28
BARING ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2016-09-15	2018-04-15
	Rep	Dealing in securities	2016-09-15	2018-04-15