Personnel Hong Kong SFC License Details (ID 69475)

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
METLIFE INVESTMENTS ASIA LIMITED	RO	Advising on securities	2026-02-27	-
	RO	Asset management	2026-02-27	-
	RO	Dealing in securities	2026-02-27	-
PineBridge Investments Asia Limited	RO	Advising on securities	2022-03-15	-
	RO	Asset management	2022-03-15	-
	RO	Dealing in securities	2022-03-15	-
PineBridge Investments Hong Kong Limited	RO	Asset management	2022-03-15	-
	RO	Dealing in securities	2022-03-15	-
ExodusPoint Capital Management Hong Kong, Limited	RO	Asset management	2020-07-03	2021-12-10
	Rep	Asset management	2020-04-02	2020-07-03
ORTUS CAPITAL MANAGEMENT LIMITED	RO	Asset management	2019-05-23	2020-01-05
	Rep	Asset management	2019-03-08	2019-05-23
MILLENNIUM CAPITAL MANAGEMENT (HONG KONG) LIMITED	RO	Asset management	2013-10-04	2019-01-31
BARCLAYS CAPITAL ASIA LIMITED	RO	Advising on corporate finance	2011-05-12	2013-05-13
	RO	Dealing in futures contracts	2011-05-12	2013-05-13
	RO	Dealing in securities	2011-05-12	2013-05-13
	Rep	Advising on corporate finance	2010-02-12	2011-05-12
	Rep	Dealing in futures contracts	2010-02-12	2011-05-12
	Rep	Dealing in securities	2010-02-12	2011-05-12
	Rep	Advising on securities	2010-02-12	2013-05-13
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2008-10-10	2009-09-19
	Rep	Advising on securities	2008-10-10	2009-09-19
	Rep	Dealing in futures contracts	2008-10-10	2009-09-19
	Rep	Dealing in securities	2008-10-10	2009-09-19
LEHMAN BROTHERS ASIA LIMITED	RO	Asset management	2003-04-01	2003-09-01
	RO	Providing automated trading services	2003-04-01	2003-09-01
	RO	Advising on corporate finance	2003-04-01	2008-09-29
	RO	Advising on securities	2003-04-01	2008-09-29
	RO	Dealing in futures contracts	2003-04-01	2008-09-29
	RO	Dealing in securities	2003-04-01	2008-09-29
LEHMAN BROTHERS FUTURES ASIA LIMITED	RO	Providing automated trading services	2003-04-01	2003-09-01
	RO	Dealing in futures contracts	2003-04-01	2008-09-29
LEHMAN BROTHERS SECURITIES ASIA LIMITED	RO	Advising on corporate finance	2003-04-01	2003-09-01
	RO	Advising on securities	2003-04-01	2003-09-01
	RO	Asset management	2003-04-01	2003-09-01
	RO	Providing automated trading services	2003-04-01	2003-09-01
	RO	Dealing in securities	2003-04-01	2008-09-29