Personnel Hong Kong SFC License Details (ID 80184)

Personnel Hong Kong SFC License Details (ID 80184)

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
FIL Investment Management (Hong Kong) Limited	Rep	Dealing in securities	2023-02-13	-
SCHRODER INVESTMENT MANAGEMENT (HONG KONG) LIMITED	Rep	Dealing in securities	2017-08-18	2019-12-12
M&G Investments (Hong Kong) Limited	Rep	Dealing in securities	2015-10-14	2017-07-21
GAM HONG KONG LIMITED	Rep	Advising on securities	2015-06-24	2015-09-15
	Rep	Dealing in securities	2004-06-14	2015-09-15
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2003-04-01	2004-05-31
	Rep	Advising on securities	2003-04-01	2004-05-31
	Rep	Asset management	2003-04-01	2004-05-31
	Rep	Providing automated trading services	2003-04-01	2004-05-31
	Rep	Dealing in securities	2003-04-01	2004-05-31
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2003-04-01	2004-05-31
	Rep	Advising on securities	2003-04-01	2004-05-31
	Rep	Asset management	2003-04-01	2004-05-31
	Rep	Dealing in securities	2003-04-01	2004-05-31