Personnel Hong Kong SFC License Details (ID 70060)

Personnel Hong Kong SFC License Details (ID 70060)

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
PGIM (Hong Kong) Limited	Rep	Advising on securities	2024-09-01	-
	Rep	Dealing in securities	2024-09-01	-
	Rep	Advising on securities	2020-06-09	2024-08-31
	Rep	Dealing in securities	2020-06-09	2024-08-31
AllianceBernstein Hong Kong Limited	Rep	Advising on securities	2012-03-16	2018-06-15
	Rep	Asset management	2012-03-16	2018-06-15
	Rep	Dealing in securities	2012-03-16	2018-06-15
Amundi Hong Kong Limited	Rep	Advising on securities	2010-10-25	2012-03-05
	Rep	Asset management	2010-10-25	2012-03-05
	Rep	Dealing in securities	2010-10-25	2012-03-05
PIMCO Asia Limited	Rep	Advising on securities	2006-07-05	2010-08-26
	Rep	Asset management	2006-07-05	2010-08-26
	Rep	Dealing in securities	2006-07-05	2010-08-26