Personnel Hong Kong SFC License Details (ID 69910)

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
Allianz Global Investors Asia Pacific Limited (SFC:BFE699)	RO	Dealing in futures contracts	2025-11-11	-
	RO	Advising on futures contracts	2025-01-13	-
	RO	Advising on securities	2025-01-13	-
	RO	Asset management	2025-01-13	-
	RO	Dealing in securities	2025-01-13	-
HANG SENG INVESTMENT MANAGEMENT LIMITED	RO	Advising on corporate finance	2019-11-07	2024-12-27
	RO	Advising on futures contracts	2019-06-25	2024-12-27
	RO	Advising on securities	2019-06-25	2024-12-27
	RO	Asset management	2019-06-25	2024-12-27
	RO	Dealing in securities	2019-06-25	2024-12-27
	Rep	Advising on futures contracts	2019-05-15	2019-06-25
	Rep	Advising on securities	2019-05-15	2019-06-25
	Rep	Asset management	2019-05-15	2019-06-25
	Rep	Dealing in securities	2019-05-15	2019-06-25
BARING ASSET MANAGEMENT (ASIA) LIMITED	RO	Dealing in futures contracts	2015-09-07	2017-01-24
	RO	Advising on futures contracts	2012-04-23	2017-01-24
	RO	Advising on securities	2011-07-12	2017-01-24
	RO	Asset management	2011-07-12	2017-01-24
	RO	Dealing in securities	2011-07-12	2017-01-24
	Rep	Advising on securities	2011-05-30	2011-07-12
	Rep	Asset management	2011-05-30	2011-07-12
	Rep	Dealing in securities	2011-05-30	2011-07-12
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED	RO	Dealing in securities	2009-11-27	2011-05-01
	RO	Advising on securities	2007-03-14	2011-05-01
	RO	Asset management	2007-03-14	2011-05-01
BARING ASSET MANAGEMENT (ASIA) LIMITED	RO	Advising on futures contracts	2004-09-24	2007-02-18
	RO	Advising on securities	2004-09-24	2007-02-18
	RO	Asset management	2004-09-24	2007-02-18
	RO	Dealing in securities	2004-09-24	2007-02-18
	Rep	Advising on futures contracts	2004-09-22	2004-09-24
	Rep	Advising on securities	2004-09-22	2004-09-24
	Rep	Asset management	2004-09-22	2004-09-24
	Rep	Dealing in securities	2004-09-22	2004-09-24
INVESCO ASSET MANAGEMENT ASIA LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-09-13
	Rep	Advising on securities	2003-04-01	2004-09-13
	Rep	Asset management	2003-04-01	2004-09-13
INVESCO HONG KONG LIMITED (TRADING AS INVESCO ASIA PACIFIC)	Rep	Advising on corporate finance	2003-04-01	2004-09-13
	Rep	Advising on securities	2003-04-01	2004-09-13
	Rep	Asset management	2003-04-01	2004-09-13