Personnel Hong Kong SFC License Details (ID 69435)

Personnel Hong Kong SFC License Details (ID 69435)

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
T. Rowe Price Hong Kong Limited	RO	Advising on securities	2016-10-27	-
	RO	Dealing in securities	2016-10-27	-
	Rep	Advising on securities	2015-09-02	2016-10-27
	Rep	Dealing in securities	2015-09-02	2016-10-27
	Rep	Asset management	2015-09-02	2023-08-09
AXA Investment Managers Asia Limited	Rep	Asset management	2010-12-23	2015-04-28
	Rep	Advising on securities	2010-12-23	2015-09-01
	Rep	Dealing in securities	2010-12-23	2015-09-01
AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED (TRADING AS AXA ROSENBERG ASIA PACIFIC; AXA INVESTMENT MANAGERS)	Rep	Asset management	2010-12-23	2015-04-28
	Rep	Advising on securities	2010-12-23	2015-09-01
	Rep	Dealing in securities	2010-12-23	2015-09-01
HARCOURT ALTERNATIVE INVESTMENTS (HK) LIMITED	RO	Asset management	2008-11-14	2010-12-04