Personnel SFC Licences and HKMA Registrations (ID 82515)

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
Axial Partners Limited	RO	Advising on securities	2026-07-16	-
	RO	Asset management	2026-07-16	-
	Rep	Advising on securities	2026-05-06	2026-07-16
	Rep	Asset management	2026-05-06	2026-07-16
AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED (TRADING AS AXA ROSENBERG ASIA PACIFIC; AXA INVESTMENT MANAGERS)	Rep	Advising on securities	2014-05-20	2017-08-11
	Rep	Asset management	2014-05-20	2017-08-11
	Rep	Dealing in securities	2014-05-20	2017-08-11
BNP PARIBAS ASSET MANAGEMENT APAC LIMITED	Rep	Advising on securities	2014-05-20	2023-08-31
	Rep	Asset management	2014-05-20	2023-08-31
	Rep	Dealing in securities	2014-05-20	2023-08-31
HSBC Global Asset Management (Hong Kong) Limited	Rep	Dealing in securities	2010-06-24	2014-05-09
Halbis Capital Management (Hong Kong) Limited	Rep	Advising on securities	2005-07-15	2011-12-31
	Rep	Asset management	2005-07-15	2011-12-31
	Rep	Dealing in securities	2005-07-15	2011-12-31
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Dealing in securities	2004-04-06	2014-05-09
Halbis Capital Management (Hong Kong) Limited	Rep	Advising on corporate finance	2003-04-01	2004-02-16
	Rep	Advising on securities	2003-04-01	2004-02-16
	Rep	Asset management	2003-04-01	2004-02-16
	Rep	Dealing in securities	2003-04-01	2004-08-30
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on corporate finance	2003-04-01	2004-02-16
	Rep	Advising on securities	2003-04-01	2014-05-09
	Rep	Asset management	2003-04-01	2014-05-09

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.