Personnel Hong Kong SFC License Details (ID 79523)

Personnel Hong Kong SFC License Details (ID 79523)

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
TransPacific Group (Asia) Limited	RO	Dealing in securities	2023-01-19	2024-09-30
	Rep	Dealing in securities	2023-01-13	2023-01-19
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on securities	2017-03-20	2022-12-31
	Rep	Asset management	2017-03-20	2022-12-31
	Rep	Dealing in securities	2017-03-20	2022-12-31
HSBC Global Asset Management Holdings (Bahamas) Limited	Rep	Advising on securities	2017-03-20	2020-01-20
	Rep	Asset management	2017-03-20	2020-08-04
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Dealing in securities	2017-03-20	2022-12-31
Credit Suisse (Hong Kong) Limited	Rep	Advising on securities	2012-03-20	2016-12-31
	Rep	Dealing in securities	2012-03-20	2016-12-31
FIL Investment Management (Hong Kong) Limited	Rep	Advising on securities	2009-02-12	2012-02-10
	Rep	Asset management	2007-12-13	2012-02-10
	Rep	Dealing in securities	2007-12-13	2012-02-10