Personnel Hong Kong SFC License Details (ID 63935)

Personnel Hong Kong SFC License Details (ID 63935)

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
NORTHWEST INVESTMENT MANAGEMENT (HONG KONG) LIMITED	Rep	Asset management	2012-12-21	2024-07-24
	RO	Asset management	2009-04-09	2012-12-21
RAB CAPITAL (ASIA) LIMITED	RO	Advising on futures contracts	2008-03-25	2009-04-02
	RO	Advising on securities	2008-03-25	2009-04-02
	RO	Asset management	2008-03-25	2009-04-02
	Rep	Advising on futures contracts	2007-10-04	2008-03-25
	Rep	Advising on securities	2007-10-04	2008-03-25
	Rep	Asset management	2007-10-04	2008-03-25
PI INVESTMENT MANAGEMENT LIMITED	Rep	Advising on futures contracts	2007-09-05	2007-09-28
	Rep	Advising on securities	2007-09-05	2007-09-28
	Rep	Asset management	2007-09-05	2007-09-28