Personnel Hong Kong SFC License Details (ID 73579)

Personnel Hong Kong SFC License Details (ID 73579)

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
BOCHK Asset Management Limited	Rep	Advising on securities	2014-07-10	2021-07-16
	Rep	Asset management	2014-07-10	2021-07-16
	Rep	Dealing in securities	2014-07-10	2021-07-16
PineBridge Investments Asia Limited	Rep	Dealing in securities	2013-08-28	2014-06-09
PineBridge Investments Hong Kong Limited	Rep	Dealing in securities	2013-08-28	2014-06-09
PineBridge Investments Asia Limited	Rep	Advising on securities	2011-11-23	2014-06-09
	Rep	Asset management	2011-11-23	2014-06-09
CHINA LIFE FRANKLIN ASSET MANAGEMENT CO., LIMITED	Rep	Advising on securities	2008-10-27	2011-10-31
	Rep	Asset management	2008-07-31	2011-10-31
UBS Asset Management (Hong Kong) Limited	Rep	Advising on securities	2004-12-23	2008-05-24
	Rep	Asset management	2004-12-23	2008-05-24
	RO	Advising on securities	2004-06-16	2004-12-23
	RO	Asset management	2004-06-16	2004-12-23
	Rep	Advising on securities	-	2004-06-16
	Rep	Asset management	-	2004-06-16