Personnel Hong Kong SFC License Details (ID 82679)

Personnel Hong Kong SFC License Details (ID 82679)

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
RBC GLOBAL ASSET MANAGEMENT (ASIA) LIMITED	RO	Dealing in securities	2018-01-23	-
	Rep	Advising on securities	2014-01-06	-
	Rep	Asset management	2014-01-06	-
	Rep	Dealing in securities	2014-01-06	2018-01-23
HARVEST GLOBAL INVESTMENTS LIMITED	Rep	Dealing in securities	2011-01-06	2013-12-20
	Rep	Advising on securities	2010-02-23	2013-12-20
	Rep	Asset management	2010-02-23	2013-12-20
PIPER JAFFRAY ASIA SECURITIES LIMITED	Rep	Dealing in securities	2009-09-23	2010-02-04
BEA Union Investment Management Limited	Rep	Asset management	2008-01-02	2009-09-11
	Rep	Dealing in securities	2008-01-02	2009-09-11