Personnel Hong Kong SFC License Details (ID 77874)

Personnel Hong Kong SFC License Details (ID 77874)

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
SCHRODER INVESTMENT MANAGEMENT (HONG KONG) LIMITED	Rep	Advising on securities	2018-01-03	2020-09-25
	Rep	Asset management	2018-01-03	2020-09-25
HARVEST GLOBAL INVESTMENTS LIMITED	Rep	Advising on securities	2014-09-23	2017-11-09
	Rep	Asset management	2014-09-23	2017-11-09
Daiwa Capital Markets Hong Kong Limited	Rep	Advising on securities	2011-02-25	2012-04-26
DAIWA INSTITUTE OF RESEARCH (HONG KONG) LIMITED	Rep	Advising on securities	2011-02-25	2012-01-30
CLSA RESEARCH LIMITED	Rep	Advising on securities	2010-09-07	2010-11-29