Personnel Hong Kong SFC License Details (ID 70303)

Personnel Hong Kong SFC License Details (ID 70303)

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
Nuveen Hong Kong Limited	Rep	Advising on securities	2021-01-08	2021-07-23
	Rep	Asset management	2021-01-08	2021-07-23
	Rep	Dealing in securities	2021-01-08	2021-07-23
FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED	Rep	Advising on securities	2019-02-27	2020-06-30
	Rep	Asset management	2015-05-27	2020-06-30
	Rep	Dealing in securities	2015-05-27	2020-06-30
BLACKROCK (HONG KONG) LIMITED	Rep	Asset management	2012-11-28	2014-12-31
BlackRock Asset Management North Asia Limited	Rep	Advising on securities	2012-11-28	2015-05-19
	Rep	Asset management	2012-11-28	2015-05-19
	Rep	Dealing in securities	2012-11-28	2015-05-19
BLACKROCK (HONG KONG) LIMITED	Rep	Advising on securities	2011-03-08	2014-12-31
	Rep	Dealing in securities	2011-03-08	2014-12-31