Personnel Hong Kong SFC License Details (ID 70249)

Personnel Hong Kong SFC License Details (ID 70249)

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
Vanguard Investments Hong Kong Limited	RO	Asset management	2017-01-03	2018-07-31
	Rep	Asset management	2015-12-28	2017-01-03
	Rep	Advising on securities	2015-12-28	2018-07-31
	Rep	Dealing in securities	2015-12-28	2018-07-31
BLACKROCK (HONG KONG) LIMITED	Rep	Dealing in securities	2011-06-23	2014-12-31
BlackRock Asset Management North Asia Limited	Rep	Advising on securities	2011-06-23	2015-01-16
	Rep	Dealing in securities	2011-06-23	2015-01-16
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2008-11-06	2011-03-25
	Rep	Dealing in futures contracts	2008-11-06	2011-03-25
	Rep	Dealing in securities	2005-04-14	2011-03-25
Credit Suisse Futures (Hong Kong) Limited	Rep	Advising on futures contracts	-	2005-02-15
	Rep	Asset management	-	2005-02-15
	Rep	Providing automated trading services	-	2008-11-24
	Rep	Dealing in futures contracts	-	2008-11-24
Credit Suisse Securities (Hong Kong) Limited	Rep	Providing automated trading services	-	2003-08-22
	Rep	Advising on corporate finance	-	2005-02-15
	Rep	Advising on securities	-	2005-02-15
	Rep	Asset management	-	2005-02-15
	Rep	Dealing in securities	-	2011-03-25