Personnel Hong Kong SFC License Details (ID 80903)

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
JPMorgan Asset Management (Asia Pacific) Limited	RO	Advising on futures contracts	2018-08-07	-
	RO	Advising on securities	2016-07-25	-
	RO	Asset management	2016-07-25	-
	Rep	Advising on securities	2016-05-06	2016-07-25
	Rep	Asset management	2016-05-06	2016-07-25
Amundi Hong Kong Limited	RO	Advising on securities	2012-08-03	2016-04-30
	RO	Asset management	2012-08-03	2016-04-30
	RO	Dealing in securities	2012-08-03	2016-04-30
	Rep	Advising on securities	2012-04-23	2012-08-03
	Rep	Asset management	2012-04-23	2012-08-03
	Rep	Dealing in securities	2012-04-23	2012-08-03
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2010-07-07	2012-04-17
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2010-06-30	2012-04-17
HSBC Global Asset Management (Hong Kong) Limited	RO	Dealing in securities	2006-03-29	2010-06-18
Halbis Capital Management (Hong Kong) Limited	RO	Advising on futures contracts	2005-06-23	2010-06-18
	RO	Advising on securities	2005-06-23	2010-06-18
	RO	Asset management	2005-06-23	2010-06-18
	RO	Dealing in securities	2005-06-23	2010-06-18
HSBC Global Asset Management (Hong Kong) Limited	RO	Advising on futures contracts	2004-09-09	2010-06-18
	RO	Advising on securities	2004-09-09	2010-06-18
	RO	Asset management	2004-09-09	2010-06-18
HSBC Global Asset Management Holdings (Bahamas) Limited	RO	Advising on futures contracts	2004-09-09	2010-06-18
	RO	Advising on securities	2004-09-09	2010-06-18
	RO	Asset management	2004-09-09	2010-06-18
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	RO	Advising on futures contracts	2004-09-09	2010-06-18
	RO	Advising on securities	2004-09-09	2010-06-18
	RO	Asset management	2004-09-09	2010-06-18
	RO	Dealing in securities	2004-09-09	2010-06-18
Halbis Capital Management (Hong Kong) Limited	Rep	Dealing in securities	2004-07-20	2004-08-30
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on futures contracts	2004-07-20	2004-09-09
	Rep	Advising on securities	2004-07-20	2004-09-09
	Rep	Asset management	2004-07-20	2004-09-09
HSBC Global Asset Management Holdings (Bahamas) Limited	Rep	Advising on futures contracts	2004-07-20	2004-09-09
	Rep	Advising on securities	2004-07-20	2004-09-09
	Rep	Asset management	2004-07-20	2004-09-09
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Advising on futures contracts	2004-07-20	2004-09-09
	Rep	Advising on securities	2004-07-20	2004-09-09
	Rep	Asset management	2004-07-20	2004-09-09
	Rep	Dealing in securities	2004-07-20	2004-09-09
AXA Investment Managers Asia Limited	RO	Advising on futures contracts	2003-04-01	2004-05-31
	RO	Advising on securities	2003-04-01	2004-05-31
	RO	Asset management	2003-04-01	2004-05-31
AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED (TRADING AS AXA ROSENBERG ASIA PACIFIC; AXA INVESTMENT MANAGERS)	RO	Advising on corporate finance	2003-04-01	2004-05-31
	RO	Advising on futures contracts	2003-04-01	2004-05-31
	RO	Advising on securities	2003-04-01	2004-05-31
	RO	Asset management	2003-04-01	2004-05-31
	RO	Dealing in securities	2003-04-01	2004-05-31