Personnel SFC Licences and HKMA Registrations (ID 69915)

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
TAIKANG ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED	RO	Dealing in securities	2018-07-11	-
	RO	Advising on securities	2015-10-28	-
	RO	Asset management	2015-10-28	-
	Rep	Advising on securities	2015-08-26	2015-10-28
	Rep	Asset management	2015-08-26	2015-10-28
BARING ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on futures contracts	2012-02-06	2015-07-24
	Rep	Dealing in securities	2012-02-06	2015-07-24
	Rep	Advising on securities	2010-07-02	2015-07-24
	Rep	Asset management	2010-07-02	2015-07-24
SUMITOMO MITSUI ASSET MANAGEMENT (HONG KONG) LIMITED	RO	Advising on securities	2009-11-03	2010-06-12
	RO	Asset management	2009-11-03	2010-06-12
	Rep	Advising on securities	2008-09-23	2009-11-03
	Rep	Asset management	2008-09-23	2009-11-03
Vision Capital Investment Management Limited	Rep	Advising on securities	2008-01-25	2008-08-30
	Rep	Asset management	2004-12-22	2008-08-30
	Rep	Dealing in securities	2004-12-22	2008-08-30

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

HKMA records could not be loaded. Please try again later.