Personnel Hong Kong SFC License Details (ID 66914)

Personnel Hong Kong SFC License Details (ID 66914)

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
Link Asset Management Limited (HK)	RO	Asset management	2024-08-30	-
	Rep	Asset management	2024-06-27	2024-08-30
BlackRock Asset Management North Asia Limited	RO	Advising on securities	2018-05-04	2024-02-29
	RO	Asset management	2018-05-04	2024-02-29
	RO	Dealing in securities	2018-05-04	2024-02-29
	Rep	Asset management	2014-12-04	2018-05-04
	Rep	Advising on securities	2014-11-21	2018-05-04
	Rep	Dealing in securities	2014-11-21	2018-05-04
CLSA LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-05-02
	Rep	Advising on securities	2003-04-01	2003-05-02
	Rep	Asset management	2003-04-01	2003-05-02
	Rep	Dealing in securities	2003-04-01	2003-05-02
CLSA RESEARCH LIMITED	Rep	Advising on securities	2003-04-01	2007-09-11