Personnel Hong Kong SFC License Details (ID 79766)

Personnel Hong Kong SFC License Details (ID 79766)

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
PGIM (Hong Kong) Limited	RO	Advising on securities	2024-09-01	-
	RO	Dealing in securities	2024-09-01	-
	RO	Advising on securities	2023-10-10	2024-08-31
	RO	Dealing in securities	2023-10-10	2024-08-31
	Rep	Advising on securities	2023-10-09	2023-10-10
	Rep	Dealing in securities	2023-10-09	2023-10-10
FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED	RO	Advising on securities	2018-08-15	2020-09-30
	RO	Dealing in securities	2003-11-26	2020-09-30
	Rep	Advising on corporate finance	2003-04-01	2003-09-05
	Rep	Advising on securities	2003-04-01	2003-09-05
	Rep	Asset management	2003-04-01	2003-09-05
	Rep	Dealing in securities	2003-04-01	2003-11-26