Personnel Hong Kong SFC License Details (ID 79707)

Personnel Hong Kong SFC License Details (ID 79707)

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
BNY Mellon Investment Management Hong Kong Limited	Rep	Advising on securities	2014-02-25	2016-05-27
	Rep	Asset management	2014-02-25	2016-05-27
	Rep	Dealing in futures contracts	2014-02-25	2016-05-27
	Rep	Dealing in securities	2014-02-25	2016-05-27
	RO	Advising on securities	2013-01-31	2014-02-25
	RO	Asset management	2013-01-31	2014-02-25
	RO	Dealing in futures contracts	2013-01-31	2014-02-25
	RO	Dealing in securities	2013-01-31	2014-02-25
First Sentier Investors (Hong Kong) Limited	Rep	Advising on securities	2009-11-19	2012-09-26
	Rep	Asset management	2009-11-19	2012-09-26
	RO	Advising on securities	2009-03-30	2009-11-19
	RO	Asset management	2009-03-30	2009-11-19
	Rep	Advising on securities	2007-04-27	2009-03-30
	Rep	Asset management	2007-04-27	2009-03-30