Personnel Hong Kong SFC License Details (ID 70480)

Personnel Hong Kong SFC License Details (ID 70480)

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
Robeco Hong Kong Limited	RO	Dealing in futures contracts	2022-08-22	-
	RO	Dealing in securities	2021-01-20	-
	Rep	Asset management	2020-10-12	-
	Rep	Dealing in securities	2020-10-12	2021-01-20
STATE STREET GLOBAL ADVISORS ASIA LIMITED	Rep	Asset management	2019-01-21	2020-06-09
	Rep	Dealing in futures contracts	2019-01-21	2020-10-09
	Rep	Dealing in securities	2019-01-21	2020-10-09
BNP PARIBAS DEALING SERVICES ASIA LIMITED	RO	Dealing in futures contracts	2013-10-08	2018-12-21
	Rep	Dealing in futures contracts	2010-11-17	2013-10-08
BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED	Rep	Dealing in securities	2010-08-30	2011-08-15
BNP PARIBAS DEALING SERVICES ASIA LIMITED	Rep	Dealing in securities	2010-08-30	2018-12-21