Personnel Hong Kong SFC License Details (ID 78374)

Personnel Hong Kong SFC License Details (ID 78374)

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
Brookfield Advisors (Hong Kong) Limited	Rep	Advising on securities	2023-07-07	-
	Rep	Dealing in securities	2023-07-07	-
	RO	Advising on securities	2017-05-15	2023-07-07
	RO	Dealing in securities	2017-05-15	2023-07-07
	Rep	Advising on securities	2017-01-27	2017-05-15
	Rep	Dealing in securities	2017-01-27	2017-05-15
BFIN Private Advisors (Hong Kong) Limited	Rep	Advising on securities	2016-02-18	2017-01-19
	Rep	Dealing in securities	2016-02-18	2017-01-19
EASTSPRING INVESTMENTS (HONG KONG) LIMITED (TRADING AS EASTSPRING INVESTMENTS)	Rep	Asset management	2012-09-27	2015-11-11
	Rep	Advising on securities	2012-01-03	2015-11-11
	Rep	Dealing in securities	2012-01-03	2015-11-11
DWS Investments Hong Kong Limited	Rep	Advising on securities	2009-06-15	2011-11-10
	Rep	Asset management	2009-06-15	2011-11-10