Personnel Hong Kong SFC License Details (ID 74454)

Personnel Hong Kong SFC License Details (ID 74454)

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
CCB INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2025-08-12	-
	Rep	Asset management	2025-08-12	-
	Rep	Dealing in securities	2025-08-12	-
CITIC Securities Asset Management (HK) Limited	Rep	Advising on securities	2011-06-21	2017-11-30
	Rep	Asset management	2011-06-21	2017-11-30
BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED	Rep	Advising on corporate finance	2007-07-04	2011-06-11
	Rep	Advising on securities	2006-08-15	2011-06-11
	Rep	Asset management	2006-08-15	2011-06-11
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on corporate finance	2003-04-01	2004-05-06
	Rep	Advising on securities	2003-04-01	2004-10-25
	Rep	Asset management	2003-04-01	2004-10-25