Personnel Hong Kong SFC License Details (ID 45871)

Personnel Hong Kong SFC License Details (ID 45871)

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
MASON INVESTMENT MANAGEMENT LIMITED	Rep	Advising on securities	2018-03-19	2018-05-11
	Rep	Asset management	2018-03-19	2018-05-11
THOMAS GLOBAL FINANCIAL SERVICES LIMITED	Rep	Dealing in securities	2018-03-19	2018-05-11
UBP ASSET MANAGEMENT ASIA LIMITED	RO	Advising on securities	2010-12-15	2017-09-29
	RO	Asset management	2010-12-15	2017-09-29
	RO	Dealing in securities	2010-12-15	2017-09-29
GENERALI INVESTMENTS ASIA LIMITED	RO	Dealing in futures contracts	2008-05-30	2010-06-30
	RO	Advising on futures contracts	2007-12-28	2010-06-30
	RO	Dealing in securities	2007-12-28	2010-06-30
	RO	Advising on securities	2007-12-04	2010-06-30
	RO	Asset management	2007-12-04	2010-06-30
BNP PARIBAS DEALING SERVICES ASIA LIMITED	RO	Advising on corporate finance	-	2004-10-25
	RO	Advising on futures contracts	-	2007-09-30
	RO	Advising on securities	-	2007-09-30
	RO	Asset management	-	2007-09-30
	RO	Dealing in securities	-	2007-09-30