Personnel Hong Kong SFC License Details (ID 69914)

Personnel Hong Kong SFC License Details (ID 69914)

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
BARING ASSET MANAGEMENT (ASIA) LIMITED	RO	Advising on futures contracts	2016-01-22	-
	RO	Advising on securities	2016-01-22	-
	RO	Dealing in futures contracts	2015-09-07	-
	RO	Dealing in securities	2015-09-07	-
	Rep	Advising on securities	2014-10-13	2016-01-22
	Rep	Advising on futures contracts	2008-12-22	2016-01-22
	Rep	Dealing in securities	2007-10-18	2015-09-07
	Rep	Asset management	2007-09-10	-
PineBridge Investments Asia Limited	Rep	Advising on corporate finance	2003-04-01	2005-03-15
	Rep	Advising on securities	2003-04-01	2005-03-31
	Rep	Asset management	2003-04-01	2007-09-01