Personnel Hong Kong SFC License Details (ID 71355)

Personnel Hong Kong SFC License Details (ID 71355)

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
FWD Financial Planning Limited (HK)	Rep	Advising on securities	2023-01-12	2026-06-14
	Rep	Dealing in securities	2023-01-12	2026-06-14
BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED	Rep	Dealing in securities	2009-04-17	2012-03-31
	Rep	Advising on securities	2009-03-24	2021-11-21
AIA WEALTH MANAGEMENT COMPANY LIMITED	Rep	Advising on securities	2004-08-04	2009-01-01
THE PRUDENTIAL ASSURANCE COMPANY LIMITED	Rep	Advising on corporate finance	-	2004-05-21
	Rep	Advising on securities	-	2004-05-21
	Rep	Asset management	-	2004-05-21