Personnel Hong Kong SFC License Details (ID 79505)

Personnel Hong Kong SFC License Details (ID 79505)

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
CHARLES SCHWAB, HONG KONG, LIMITED	RO	Advising on securities	2021-07-19	-
	RO	Dealing in securities	2021-07-19	-
	Rep	Advising on securities	2019-01-29	2021-07-19
	Rep	Dealing in securities	2019-01-29	2021-07-19
FIL Investment Management (Hong Kong) Limited	Rep	Advising on securities	2017-09-28	2019-01-14
	Rep	Asset management	2017-09-28	2019-01-14
	Rep	Dealing in securities	2017-09-28	2019-01-14
	Rep	Asset management	2007-05-09	2016-10-07
	Rep	Dealing in securities	2007-05-09	2016-10-07
	Rep	Advising on securities	2007-04-24	2016-10-07
SPLENDOR GLOBAL INVESTMENTS LIMITED	Rep	Advising on securities	2007-02-22	2007-04-03