Personnel Hong Kong SFC License Details (ID 79706)

Personnel Hong Kong SFC License Details (ID 79706)

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
First Sentier Investors (Hong Kong) Limited	Rep	Advising on securities	2016-07-19	2021-06-28
	Rep	Dealing in securities	2016-07-19	2021-06-28
UBS Asset Management (Hong Kong) Limited	Rep	Advising on securities	2015-07-30	2016-06-09
	Rep	Dealing in securities	2015-07-30	2016-06-09
First Sentier Investors (Hong Kong) Limited	Rep	Advising on securities	2011-04-12	2015-05-20
	Rep	Dealing in securities	2011-04-12	2015-05-20
Credit Suisse (Hong Kong) Limited	Rep	Advising on securities	2009-04-23	2011-03-09
	Rep	Dealing in securities	2009-04-23	2011-03-09
Aberdeen International Investment Management Limited	Rep	Advising on securities	2008-02-18	2009-04-30
	Rep	Dealing in securities	2008-02-18	2009-04-30
BNP PARIBAS DEALING SERVICES ASIA LIMITED	Rep	Advising on securities	2007-04-13	2007-12-28
	Rep	Asset management	2007-04-13	2007-12-28
	Rep	Dealing in securities	2007-03-08	2007-12-28
JPMorgan Asset Management (Asia Pacific) Limited	Rep	Advising on securities	2006-02-22	2007-02-09
	Rep	Asset management	2006-02-22	2007-02-09
JPMorgan Funds (Asia) Limited	Rep	Dealing in securities	2006-02-22	2007-02-09
BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2004-08-19	2005-06-01
	Rep	Asset management	2004-08-19	2005-06-01