Personnel Hong Kong SFC License Details (ID 47297)

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
ALTUS CAPITAL LIMITED	RO	Advising on securities	2014-07-11	-
	RO	Asset management	2014-07-11	-
ALTUS INVESTMENTS LIMITED (HK)	RO	Dealing in securities	2014-07-11	-
ALTUS CAPITAL LIMITED	Rep	Advising on securities	2014-05-12	2014-07-11
	Rep	Asset management	2014-05-12	2014-07-11
ALTUS INVESTMENTS LIMITED (HK)	Rep	Dealing in securities	2014-05-12	2014-07-11
Legg Mason Asset Management Hong Kong Limited	RO	Asset management	2013-05-23	2013-11-29
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	RO	Advising on securities	2013-05-23	2013-11-29
	RO	Asset management	2013-05-23	2013-11-29
	RO	Dealing in securities	2013-05-23	2013-11-29
Legg Mason Asset Management Hong Kong Limited	Rep	Asset management	2013-04-29	2013-05-23
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	Rep	Advising on securities	2013-04-29	2013-05-23
	Rep	Asset management	2013-04-29	2013-05-23
	Rep	Dealing in securities	2013-04-29	2013-05-23
ALTUS CAPITAL LIMITED	RO	Advising on securities	2013-03-28	2013-04-29
	RO	Asset management	2013-03-28	2013-04-29
ALTUS INVESTMENTS LIMITED (HK)	RO	Dealing in securities	2013-03-28	2013-04-29
ALTUS CAPITAL LIMITED	Rep	Advising on securities	2013-02-01	2013-03-28
	Rep	Asset management	2013-02-01	2013-03-28
ALTUS INVESTMENTS LIMITED (HK)	Rep	Dealing in securities	2013-02-01	2013-03-28
INVESCO HONG KONG LIMITED (TRADING AS INVESCO ASIA PACIFIC)	Rep	Advising on securities	2006-02-01	2012-09-01
INVESCO ASSET MANAGEMENT ASIA LIMITED	RO	Dealing in securities	2005-10-13	2012-09-01
INVESCO HONG KONG LIMITED (TRADING AS INVESCO ASIA PACIFIC)	RO	Advising on futures contracts	2005-10-13	2012-09-01
	RO	Asset management	2005-10-13	2012-09-01
	RO	Dealing in securities	2005-10-13	2012-09-01
INVESCO ASSET MANAGEMENT ASIA LIMITED	Rep	Dealing in securities	2005-03-14	2005-10-13
INVESCO HONG KONG LIMITED (TRADING AS INVESCO ASIA PACIFIC)	Rep	Dealing in securities	2005-03-14	2005-10-13
	Rep	Advising on securities	2004-11-04	2005-06-07
	Rep	Advising on futures contracts	2004-11-04	2005-10-13
	Rep	Asset management	2004-11-04	2005-10-13
Manulife Investment Management (Hong Kong) Limited	Rep	Advising on corporate finance	2003-04-01	2004-06-14
	Rep	Dealing in securities	2003-04-01	2004-06-14
	Rep	Advising on futures contracts	2003-04-01	2004-11-01
	Rep	Advising on securities	2003-04-01	2004-11-01
	Rep	Asset management	2003-04-01	2004-11-01