Personnel Hong Kong SFC License Details (ID 2639708)

Personnel Hong Kong SFC License Details (ID 2639708)

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
Neuberger Berman Asia Limited	Rep	Advising on securities	2024-12-27	-
	Rep	Dealing in securities	2024-12-27	-
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Advising on securities	2021-08-19	2024-12-04
	Rep	Dealing in securities	2021-08-19	2024-12-04
OP INVESTMENT MANAGEMENT LIMITED	Rep	Dealing in securities	2021-03-24	2021-07-26
	Rep	Advising on securities	2020-07-23	2021-07-26
	Rep	Asset management	2020-07-23	2021-07-26
Oreana Financial Services Limited	Rep	Advising on securities	2018-02-28	2020-04-03
	Rep	Asset management	2018-02-28	2020-04-03
	Rep	Dealing in securities	2018-02-28	2020-04-03
TRANSASIA PRIVATE CAPITAL LIMITED	Rep	Advising on securities	2016-10-03	2017-07-15
	Rep	Asset management	2016-10-03	2017-07-15