Personnel Hong Kong SFC License Details (ID 70062)

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
PineBridge Investments Asia Limited	RO	Advising on securities	2020-04-02	-
	RO	Dealing in securities	2020-04-02	-
PineBridge Investments Hong Kong Limited	RO	Dealing in securities	2020-04-02	-
PineBridge Investments Asia Limited	Rep	Asset management	2018-05-11	-
	Rep	Advising on securities	2018-05-11	2020-04-02
	Rep	Dealing in securities	2018-05-11	2020-04-02
PineBridge Investments Hong Kong Limited	Rep	Asset management	2018-05-11	-
	Rep	Dealing in securities	2018-05-11	2020-04-02
Amundi Hong Kong Limited	RO	Advising on securities	2018-04-17	2018-05-06
	RO	Asset management	2018-04-17	2018-05-06
	RO	Dealing in securities	2018-04-17	2018-05-06
AMUNDI ASSET MANAGEMENT	Rep	Advising on securities	2007-06-18	2008-01-01
	Rep	Asset management	2007-06-18	2008-01-01
Amundi Hong Kong Limited	Rep	Advising on securities	2007-06-18	2018-04-17
	Rep	Asset management	2007-06-18	2018-04-17
	Rep	Dealing in securities	2007-06-18	2018-04-17
FIL Investment Management (Hong Kong) Limited	Rep	Advising on securities	2006-08-02	2007-05-26
	Rep	Asset management	2006-08-02	2007-05-26
	Rep	Dealing in securities	2006-07-25	2007-05-26
INVESCO HONG KONG LIMITED (TRADING AS INVESCO ASIA PACIFIC)	Rep	Dealing in securities	2005-03-29	2006-07-15
INVESCO ASSET MANAGEMENT ASIA LIMITED	Rep	Advising on corporate finance	2003-04-01	2005-03-10
	Rep	Advising on securities	2003-04-01	2005-03-10
	Rep	Asset management	2003-04-01	2005-03-10
	Rep	Dealing in securities	2003-04-01	2006-07-15
INVESCO HONG KONG LIMITED (TRADING AS INVESCO ASIA PACIFIC)	Rep	Advising on corporate finance	2003-04-01	2005-03-01
	Rep	Advising on securities	2003-04-01	2005-03-10
	Rep	Asset management	2003-04-01	2005-03-10