Personnel Hong Kong SFC License Details (ID 78588)

Personnel Hong Kong SFC License Details (ID 78588)

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
DWS Investments Hong Kong Limited	RO	Advising on securities	2016-04-20	-
	RO	Asset management	2016-04-20	-
	RO	Dealing in securities	2016-04-20	-
	Rep	Advising on securities	2016-01-07	2016-04-20
	Rep	Asset management	2016-01-07	2016-04-20
	Rep	Dealing in securities	2016-01-07	2016-04-20
DNB Asset Management (Asia) Limited	RO	Asset management	2007-05-02	2015-11-30
	Rep	Asset management	2007-04-16	2007-05-02
OP INVESTMENT MANAGEMENT LIMITED	RO	Asset management	2004-02-18	2007-03-31
LOMBARD ODIER (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-12-31
	Rep	Advising on securities	2003-04-01	2003-12-31
	Rep	Asset management	2003-04-01	2003-12-31