Personnel Hong Kong SFC License Details (ID 70276)

Personnel Hong Kong SFC License Details (ID 70276)

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
FIL Investment Management (Hong Kong) Limited	RO	Advising on securities	2024-07-15	-
	RO	Dealing in securities	2024-07-15	-
	Rep	Dealing in securities	2020-03-11	2024-07-15
JPMorgan Funds (Asia) Limited	Rep	Dealing in securities	2015-07-21	2020-01-15
BlackRock Asset Management North Asia Limited	Rep	Asset management	2013-04-19	2015-07-04
	Rep	Advising on securities	2012-11-28	2015-07-04
	Rep	Dealing in securities	2012-11-28	2015-07-04
BLACKROCK (HONG KONG) LIMITED	Rep	Advising on securities	2011-02-24	2014-12-31
	Rep	Dealing in securities	2011-02-24	2014-12-31
BOCOM International Securities Limited	Rep	Dealing in securities	2010-10-04	2011-02-11
KBC FINANCIAL PRODUCTS HONG KONG LIMITED	Rep	Dealing in securities	2007-06-15	2009-04-01
SG ASSET MANAGEMENT (HONG KONG) LIMITED	Rep	Advising on securities	2006-08-02	2007-05-17
	Rep	Asset management	2006-08-02	2007-05-17
JPMorgan Funds (Asia) Limited	Rep	Advising on corporate finance	2003-04-01	2004-01-15
	Rep	Advising on securities	2003-04-01	2004-01-15
	Rep	Asset management	2003-04-01	2004-01-15
	Rep	Dealing in securities	2003-04-01	2006-06-26