Personnel Hong Kong SFC License Details (ID 82508)

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
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Advising on securities	2025-06-03	2026-05-20
	Rep	Dealing in securities	2025-06-03	2026-05-20
Solaris Capital Advisors (HK) Limited	Rep	Advising on securities	2021-03-05	2022-06-01
	Rep	Asset management	2021-03-05	2022-06-01
Fosun Asset Management Limited	Rep	Advising on securities	2020-08-10	2020-09-25
	Rep	Asset management	2020-08-10	2020-09-25
	Rep	Dealing in securities	2020-08-10	2020-09-25
HSBC Global Asset Management (Hong Kong) Limited	RO	Advising on futures contracts	2016-10-18	2019-12-19
	RO	Advising on securities	2016-10-18	2019-12-19
	RO	Asset management	2016-10-18	2019-12-19
	RO	Dealing in securities	2016-10-18	2019-12-19
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	RO	Advising on futures contracts	2016-10-18	2019-12-19
	RO	Advising on securities	2016-10-18	2019-12-19
	RO	Asset management	2016-10-18	2019-12-19
	RO	Dealing in securities	2016-10-18	2019-12-19
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on futures contracts	2010-06-24	2016-10-18
	Rep	Advising on securities	2010-06-24	2016-10-18
	Rep	Asset management	2010-06-24	2016-10-18
	Rep	Dealing in securities	2010-06-24	2016-10-18
Halbis Capital Management (Hong Kong) Limited	Rep	Advising on futures contracts	2009-12-09	2011-12-31
	Rep	Advising on securities	2009-12-09	2011-12-31
	Rep	Asset management	2009-12-09	2011-12-31
	Rep	Dealing in securities	2009-12-09	2011-12-31
BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED	Rep	Advising on futures contracts	2004-08-03	2009-11-30
	Rep	Advising on securities	2004-08-03	2009-11-30
	Rep	Asset management	2004-08-03	2009-11-30
	Rep	Dealing in securities	2004-08-03	2009-11-30
TC Investment Management (Asia) Limited	Rep	Advising on corporate finance	-	2004-07-30
	Rep	Advising on futures contracts	-	2004-07-30
	Rep	Advising on securities	-	2004-07-30
	Rep	Asset management	-	2004-07-30
	Rep	Dealing in securities	-	2004-07-30