Personnel SFC Licences and HKMA Registrations (ID 2678633)

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	2026-07-23	-
	Rep	Dealing in securities	2026-07-23	-
BlackRock Asset Management North Asia Limited	Rep	Dealing in securities	2025-10-15	2026-05-13
INVESCO HONG KONG LIMITED (TRADING AS INVESCO ASIA PACIFIC)	Rep	Advising on securities	2022-12-13	2025-08-08
	Rep	Dealing in securities	2022-12-13	2025-08-08
Wells Fargo Securities Asia Limited	Rep	Dealing in securities	2020-05-25	2022-03-31
	Rep	Advising on securities	2020-05-15	2022-03-31
	Rep	Asset management	2020-05-15	2022-03-31
ATLANTIS INVESTMENT MANAGEMENT LIMITED	Rep	Advising on securities	2018-07-23	2020-04-13
	Rep	Asset management	2018-07-23	2020-04-13
Lighthorse Asset Management (HK) Limited	Rep	Asset management	2016-12-28	2017-11-09

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.