Personnel Hong Kong SFC License Details (ID 71257)

Personnel Hong Kong SFC License Details (ID 71257)

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
BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED	RO	Advising on securities	2019-01-10	-
	RO	Dealing in securities	2019-01-10	-
	Rep	Dealing in securities	2008-03-28	2019-01-10
	Rep	Advising on securities	2007-10-12	2019-01-10
ETRADE SECURITIES (HONG KONG) LIMITED	Rep	Leveraged foreign exchange trading	2007-09-25	2007-09-28
	Rep	Advising on securities	2007-08-28	2007-09-28
	Rep	Dealing in securities	2007-07-30	2007-09-28
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2007-05-23	2007-06-14
SG ASSET MANAGEMENT (HONG KONG) LIMITED	Rep	Advising on securities	2007-01-04	2007-03-31
	Rep	Asset management	2007-01-04	2007-03-31
FIL Investment Management (Hong Kong) Limited	Rep	Advising on securities	2005-01-26	2006-12-30
	Rep	Asset management	2005-01-26	2006-12-30
	Rep	Dealing in securities	2005-01-26	2006-12-30