Personnel Hong Kong SFC License Details (ID 81418)

Personnel Hong Kong SFC License Details (ID 81418)

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
PineBridge Investments Asia Limited	RO	Advising on securities	2023-04-25	-
	RO	Dealing in securities	2023-04-25	-
PineBridge Investments Hong Kong Limited	RO	Dealing in securities	2023-04-25	-
PineBridge Investments Asia Limited	Rep	Advising on securities	2022-09-19	2023-04-25
	Rep	Dealing in securities	2022-09-19	2023-04-25
PineBridge Investments Hong Kong Limited	Rep	Dealing in securities	2022-09-19	2023-04-25
Goldman Sachs Asset Management (Hong Kong) Limited	Rep	Dealing in securities	2018-01-12	2022-07-09
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Asset management	2011-08-26	2015-03-27
	Rep	Dealing in securities	2011-08-26	2015-03-27