Personnel Hong Kong SFC License Details (ID 33656)

Personnel Hong Kong SFC License Details (ID 33656)

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
BLACKROCK (HONG KONG) LIMITED	Rep	Advising on securities	2010-12-13	2012-09-10
	Rep	Dealing in securities	2010-12-13	2012-09-10
EDMOND DE ROTHSCHILD ASSET MANAGEMENT (HONG KONG) LTD.	Rep	Dealing in securities	2010-05-18	2010-11-30
Aviva Portfolio Investment Services Limited	RO	Dealing in securities	2009-11-19	2010-03-12
	Rep	Dealing in securities	2009-09-15	2009-11-19
Tremont Capital Management (Asia), Limited	RO	Dealing in securities	2006-09-29	2009-06-30
YF Life Investors Limited	RO	Advising on securities	2004-08-30	2006-06-01
OppenheimerFunds International Distributor Limited	RO	Advising on securities	2003-12-15	2009-06-30
	RO	Dealing in securities	2003-12-15	2009-06-30
INVESCO ASSET MANAGEMENT ASIA LIMITED	Rep	Advising on corporate finance	-	2003-05-17
	Rep	Advising on securities	-	2003-05-17
	Rep	Asset management	-	2003-05-17
INVESCO HONG KONG LIMITED (TRADING AS INVESCO ASIA PACIFIC)	Rep	Advising on corporate finance	-	2003-05-17
	Rep	Advising on securities	-	2003-05-17
	Rep	Asset management	-	2003-05-17