Personnel Hong Kong SFC License Details (ID 69444)

Personnel Hong Kong SFC License Details (ID 69444)

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
Manulife Investment Management (Hong Kong) Limited	RO	Advising on futures contracts	2021-01-28	-
	RO	Advising on securities	2021-01-28	-
	RO	Asset management	2021-01-28	-
	Rep	Advising on futures contracts	2012-05-22	2021-01-28
	Rep	Advising on securities	2012-05-22	2021-01-28
	Rep	Asset management	2012-05-22	2021-01-28
AXA Investment Managers Asia Limited	Rep	Advising on futures contracts	2006-01-25	2012-04-19
AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED (TRADING AS AXA ROSENBERG ASIA PACIFIC; AXA INVESTMENT MANAGERS)	Rep	Advising on futures contracts	2006-01-25	2012-04-19
AXA Investment Managers Asia Limited	Rep	Advising on securities	2005-07-29	2012-04-19
	Rep	Asset management	2005-07-29	2012-04-19
	Rep	Dealing in securities	2005-07-29	2012-04-19
AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED (TRADING AS AXA ROSENBERG ASIA PACIFIC; AXA INVESTMENT MANAGERS)	Rep	Advising on corporate finance	2003-04-01	2004-12-13
	Rep	Advising on securities	2003-04-01	2012-04-19
	Rep	Asset management	2003-04-01	2012-04-19
	Rep	Dealing in securities	2003-04-01	2012-04-19