Personnel Hong Kong SFC License Details (ID 78408)

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
BlackRock Asset Management North Asia Limited	RO	Asset management	2024-05-13	-
	RO	Dealing in futures contracts	2024-05-13	-
	Rep	Asset management	2015-06-22	2015-06-22
	RO	Advising on corporate finance	2014-12-22	-
	RO	Advising on securities	2014-12-22	-
	RO	Dealing in securities	2014-12-22	-
	RO	Asset management	2014-12-22	2015-06-22
BLACKROCK (HONG KONG) LIMITED	Rep	Advising on securities	2013-07-02	2014-12-31
	Rep	Asset management	2013-07-02	2014-12-31
	Rep	Dealing in securities	2013-07-02	2014-12-31
BlackRock Asset Management North Asia Limited	Rep	Advising on corporate finance	2013-07-02	2014-12-22
	Rep	Advising on securities	2013-07-02	2014-12-22
	Rep	Asset management	2013-07-02	2014-12-22
	Rep	Dealing in securities	2013-07-02	2014-12-22
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2011-09-05	2013-04-10
	Rep	Dealing in securities	2011-09-05	2013-04-10
BARCLAYS CAPITAL ASIA LIMITED	RO	Dealing in futures contracts	2005-01-12	2011-05-27
BARCLAYS CAPITAL FUTURES HONG KONG LIMITED	RO	Dealing in futures contracts	2004-07-16	2005-01-31
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in securities	2004-06-15	2011-05-27
BARCLAYS CAPITAL FUTURES HONG KONG LIMITED	Rep	Dealing in futures contracts	2004-06-15	2004-07-16
BARCLAYS CAPITAL SECURITIES ASIA LIMITED	Rep	Dealing in securities	2004-06-15	2005-01-31
BEAR STEARNS ASIA LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-05-07
	Rep	Advising on securities	2003-04-01	2004-05-07
	Rep	Asset management	2003-04-01	2004-05-07
	Rep	Providing automated trading services	2003-04-01	2004-05-07
	Rep	Dealing in securities	2003-04-01	2004-05-07
BEAR STEARNS HONG KONG LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-05-07
	Rep	Asset management	2003-04-01	2004-05-07
	Rep	Dealing in futures contracts	2003-04-01	2004-05-07