Personnel Hong Kong SFC License Details (ID 70009)

Personnel Hong Kong SFC License Details (ID 70009)

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
DWS Investments Hong Kong Limited	RO	Dealing in futures contracts	2016-03-18	2025-04-30
	RO	Advising on securities	2014-08-26	2025-04-30
	RO	Asset management	2014-08-26	2025-04-30
	RO	Dealing in securities	2014-08-26	2025-04-30
	Rep	Advising on securities	2014-05-02	2014-08-26
	Rep	Asset management	2014-05-02	2014-08-26
	Rep	Dealing in securities	2014-05-02	2014-08-26
BEA Union Investment Management Limited	RO	Advising on futures contracts	2009-06-30	2014-04-26
	RO	Advising on securities	2009-06-24	2014-04-26
	RO	Asset management	2009-06-24	2014-04-26
	RO	Dealing in securities	2009-06-24	2014-04-26
	Rep	Advising on securities	2008-01-17	2009-06-24
	Rep	Asset management	2008-01-17	2009-06-24
	Rep	Dealing in securities	2008-01-17	2009-06-24
BNP PARIBAS DEALING SERVICES ASIA LIMITED	Rep	Dealing in securities	2003-11-13	2007-05-01
	Rep	Advising on corporate finance	-	2003-11-10
	Rep	Advising on securities	-	2007-05-01
	Rep	Asset management	-	2007-05-01