Personnel Hong Kong SFC License Details (ID 75381)

Personnel Hong Kong SFC License Details (ID 75381)

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
LOMBARD ODIER (HONG KONG) LIMITED	RO	Asset management	2020-11-03	-
	Rep	Advising on securities	2018-06-26	-
	Rep	Dealing in securities	2018-06-26	-
	Rep	Asset management	2018-06-26	2020-11-03
Credit Suisse (Hong Kong) Limited	Rep	Advising on securities	2017-03-08	2017-03-08
	Rep	Asset management	2017-03-08	2017-03-08
	Rep	Dealing in securities	2017-03-08	2017-03-08
	RO	Advising on securities	2017-03-08	2018-06-25
	RO	Asset management	2017-03-08	2018-06-25
	RO	Dealing in securities	2017-03-08	2018-06-25
CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED	RO	Advising on securities	2011-10-10	2012-04-01
	RO	Asset management	2011-10-10	2012-04-01
	RO	Dealing in securities	2011-10-10	2012-04-01
	Rep	Advising on securities	2011-08-12	2011-10-10
	Rep	Asset management	2011-08-12	2011-10-10
	Rep	Dealing in securities	2011-08-12	2011-10-10
	Rep	Advising on securities	2011-06-17	2011-07-17