Personnel Hong Kong SFC License Details (ID 69181)

Personnel Hong Kong SFC License Details (ID 69181)

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
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on securities	2013-07-12	2015-11-16
	Rep	Asset management	2013-07-12	2015-11-16
	Rep	Dealing in securities	2013-07-12	2015-11-16
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Advising on securities	2013-07-12	2015-11-16
	Rep	Asset management	2013-07-12	2015-11-16
	Rep	Dealing in securities	2013-07-12	2015-11-16
BCT Financial Limited	Rep	Advising on securities	2012-02-13	2013-06-21
	Rep	Dealing in securities	2012-02-13	2013-06-21
AXA CHINA REGION INVESTMENT SERVICES LIMITED	Rep	Advising on securities	2008-09-25	2012-01-02
MIS SERVICES LIMITED (d2019-06-01)	Rep	Asset management	2007-10-22	2008-06-30
ST. JAMES'S PLACE (HONG KONG) LIMITED	Rep	Advising on securities	2007-05-09	2007-09-12