Personnel Hong Kong SFC License Details (ID 73279)

Personnel Hong Kong SFC License Details (ID 73279)

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
Expecta Capital Limited	RO	Advising on securities	2022-01-14	-
	RO	Asset management	2022-01-14	-
Morgan Stanley Asia Limited	RO	Advising on securities	2019-05-21	2020-12-31
	RO	Asset management	2017-10-04	2020-12-31
	RO	Dealing in securities	2017-10-04	2020-12-31
	Rep	Asset management	2012-07-03	2017-10-04
	Rep	Dealing in securities	2012-07-03	2017-10-04
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED	RO	Advising on securities	2011-04-28	2012-05-16
	RO	Asset management	2011-04-28	2012-05-16
	Rep	Asset management	2011-02-18	2011-04-28
Morgan Stanley Asia Limited	Rep	Dealing in securities	2008-01-15	2011-01-20
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2005-04-14	2006-08-24
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Dealing in securities	2005-02-03	2005-03-11
	Rep	Advising on securities	2004-07-26	2005-02-03