Personnel Hong Kong SFC License Details (ID 75383)

Personnel Hong Kong SFC License Details (ID 75383)

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
RBC GLOBAL ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2013-07-04	2017-08-01
	Rep	Dealing in securities	2013-07-04	2017-08-01
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on futures contracts	2012-11-20	2019-05-07
	Rep	Advising on securities	2012-11-20	2019-05-07
	Rep	Dealing in futures contracts	2012-11-20	2019-05-07
	Rep	Dealing in securities	2012-11-20	2019-05-07
CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED	Rep	Advising on futures contracts	2009-10-08	2011-02-01
	Rep	Advising on securities	2009-10-08	2012-03-31
	Rep	Asset management	2009-10-08	2012-03-31