Personnel Hong Kong SFC License Details (ID 49569)

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
ALETHEIA TECHNOLOGIES LIMITED (HK)	Rep	Advising on securities	2014-10-15	2014-10-16
	RO	Advising on securities	2014-08-22	2014-10-15
	Rep	Advising on futures contracts	2014-04-30	2014-06-10
	Rep	Advising on securities	2014-04-30	2014-08-22
Daiwa Capital Markets Hong Kong Limited	Rep	Advising on securities	2011-06-15	2012-08-29
DAIWA INSTITUTE OF RESEARCH (HONG KONG) LIMITED	Rep	Advising on securities	2011-06-15	2012-01-30
Everbright Securities Investment Services (HK) Limited	Rep	Advising on securities	2010-11-03	2011-01-20
AT Asset Management (Asia-Pacific) Limited	RO	Asset management	2006-10-06	2008-12-31
Legg Mason Asset Management Hong Kong Limited	RO	Advising on futures contracts	2005-04-04	2005-08-01
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	RO	Advising on futures contracts	2005-04-04	2005-08-01
Legg Mason Asset Management Hong Kong Limited	RO	Asset management	2005-01-24	2005-07-24
	RO	Advising on securities	2005-01-24	2005-08-01
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	RO	Asset management	2005-01-24	2005-07-24
	RO	Advising on securities	2005-01-24	2005-08-01
	RO	Dealing in securities	2005-01-24	2005-08-01
Legg Mason Asset Management Hong Kong Limited	Rep	Advising on securities	2004-11-30	2005-01-24
	Rep	Asset management	2004-11-30	2005-01-24
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	Rep	Advising on securities	2004-11-30	2005-01-24
	Rep	Asset management	2004-11-30	2005-01-24
	Rep	Dealing in securities	2004-11-30	2005-01-24