Personnel Hong Kong SFC License Details (ID 74467)

Personnel Hong Kong SFC License Details (ID 74467)

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
JPMorgan Asset Management (Asia Pacific) Limited	Rep	Advising on futures contracts	2024-11-22	-
	Rep	Advising on securities	2024-11-22	-
	Rep	Asset management	2011-12-02	-
	Rep	Advising on futures contracts	2011-12-02	2016-06-10
	Rep	Advising on securities	2011-12-02	2016-06-10
	Rep	Dealing in futures contracts	2011-12-02	2025-07-14
	Rep	Dealing in securities	2011-12-02	2025-07-14
CITIC Securities Asset Management (HK) Limited	Rep	Advising on securities	2008-09-11	2011-11-17
	Rep	Asset management	2008-09-11	2011-11-17
CHINA SHENGHAI INVESTMENT MANAGEMENT LIMITED	Rep	Advising on securities	2008-06-23	2008-08-19
	Rep	Asset management	2008-06-23	2008-08-19
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2004-03-19	2008-04-30
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2004-03-19	2008-04-30
	Rep	Dealing in securities	2004-03-19	2008-04-30
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2004-03-19	2008-04-30