Personnel Hong Kong SFC License Details (ID 69918)

Personnel Hong Kong SFC License Details (ID 69918)

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	2021-05-06	-
	RO	Dealing in securities	2021-05-06	-
	RO	Advising on securities	2018-08-16	-
	RO	Asset management	2018-08-16	-
	Rep	Advising on securities	2004-09-15	2018-08-16
	Rep	Asset management	2004-09-15	2018-08-16
	Rep	Advising on futures contracts	2004-09-15	2021-05-06
	Rep	Dealing in securities	2004-09-15	2021-05-06
CTBC Asia Limited	Rep	Asset management	2004-04-27	2004-05-11
	Rep	Dealing in securities	2004-04-27	2004-05-11