Personnel Hong Kong SFC License Details (ID 69923)

Personnel Hong Kong SFC License Details (ID 69923)

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
HARVEST GLOBAL INVESTMENTS LIMITED	RO	Dealing in securities	2015-11-10	2024-01-08
	RO	Advising on securities	2012-05-16	2024-01-08
	RO	Asset management	2012-05-16	2024-01-08
	Rep	Advising on securities	2012-01-03	2012-05-16
	Rep	Asset management	2012-01-03	2012-05-16
BARING ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on futures contracts	2011-04-04	2012-01-02
	Rep	Advising on securities	2011-04-04	2012-01-02
	Rep	Asset management	2011-04-04	2012-01-02
	Rep	Dealing in securities	2011-04-04	2012-01-02
EASTSPRING INVESTMENTS (HONG KONG) LIMITED (TRADING AS EASTSPRING INVESTMENTS)	Rep	Asset management	2007-03-20	2007-09-18
First Sentier Investors (Hong Kong) Limited	Rep	Advising on corporate finance	-	2004-10-15
	Rep	Advising on futures contracts	-	2005-05-14
	Rep	Advising on securities	-	2005-05-14
	Rep	Asset management	-	2005-05-14
FIRST STATE (HONG KONG) LLC	Rep	Advising on corporate finance	-	2004-10-15
	Rep	Advising on futures contracts	-	2005-05-14
	Rep	Advising on securities	-	2005-05-14
	Rep	Asset management	-	2005-05-14