Personnel Hong Kong SFC License Details (ID 70597)

Personnel Hong Kong SFC License Details (ID 70597)

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
Natixis Investment Managers Hong Kong Limited	RO	Dealing in securities	2019-07-18	-
	Rep	Dealing in securities	2019-05-14	2019-07-18
JUPITER ASSET MANAGEMENT (ASIA PACIFIC) LIMITED	Rep	Advising on securities	2013-12-16	2019-04-30
	Rep	Dealing in securities	2013-12-16	2019-04-30
BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED	Rep	Advising on securities	2007-05-30	2013-11-30
	Rep	Dealing in securities	2007-05-30	2013-11-30
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	Rep	Dealing in securities	2004-01-29	2004-09-06
	Rep	Advising on corporate finance	2003-04-01	2004-01-06
	Rep	Advising on securities	2003-04-01	2004-01-06
	Rep	Asset management	2003-04-01	2004-09-06
KINGSWAY UNIT TRUST MANAGERS LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-01-06
	Rep	Advising on securities	2003-04-01	2004-01-06
	Rep	Asset management	2003-04-01	2004-02-13
KINGSWAY-HIA INVESTMENT PRODUCTS LIMITED	Rep	Advising on securities	2003-04-01	2003-12-10