Personnel Hong Kong SFC License Details (ID 78094)

Personnel Hong Kong SFC License Details (ID 78094)

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
MARSHALL WACE ASIA LIMITED	Rep	Asset management	2024-11-25	-
CPP INVESTMENTS ASIA PACIFIC LIMITED	Rep	Dealing in securities	2022-03-22	2024-10-21
CPPIB Asia Inc.	Rep	Dealing in securities	2019-05-23	2022-03-22
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on securities	2012-07-31	2018-02-10
	Rep	Dealing in securities	2012-07-31	2018-02-10
Daiwa Capital Markets Hong Kong Limited	Rep	Advising on securities	2011-01-24	2012-07-17
DAIWA INSTITUTE OF RESEARCH (HONG KONG) LIMITED	Rep	Advising on securities	2011-01-24	2012-01-30