Personnel Hong Kong SFC License Details (ID 70423)

Personnel Hong Kong SFC License Details (ID 70423)

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
Alliance Asset Management Limited (HK)	RO	Asset management	2019-06-19	-
	Rep	Asset management	2019-06-11	2019-06-19
INNOVATION ASSET MANAGEMENT CO., LIMITED	RO	Asset management	2019-03-20	2019-06-06
	Rep	Asset management	2019-03-18	2019-03-20
Luminous Asset Management (HK) Limited	RO	Asset management	2016-09-20	2019-02-20
BNP PARIBAS CAPITAL (ASIA PACIFIC) LIMITED	Rep	Advising on corporate finance	2011-02-08	2012-12-14
	Rep	Dealing in securities	2011-02-08	2012-12-14
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2011-02-08	2012-12-14
	Rep	Advising on securities	2009-06-04	2011-01-01
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2006-10-05	2008-06-26
	Rep	Dealing in securities	2006-10-05	2008-06-26
	Rep	Advising on securities	2006-09-11	2008-06-26
DBS VICKERS (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-10-13
	Rep	Asset management	2003-04-01	2003-10-13
	Rep	Advising on securities	2003-04-01	2006-09-01