Personnel SFC Licences and HKMA Registrations (ID 83098)

Key Data Licences & registrations 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
BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED	Rep	Advising on securities	2026-03-26	-
	Rep	Dealing in securities	2026-03-26	-
BNP PARIBAS ASSET MANAGEMENT SELECT ASIA LIMITED	Rep	Advising on securities	2025-01-22	-
	Rep	Dealing in securities	2022-08-02	-
DWS Investments Hong Kong Limited	Rep	Advising on securities	2019-05-31	2022-05-27
	Rep	Dealing in securities	2019-05-31	2022-05-27
Vanguard Investments Hong Kong Limited	Rep	Advising on securities	2018-07-20	2018-10-31
	Rep	Dealing in securities	2018-07-20	2018-10-31
Allianz Global Investors Asia Pacific Limited (SFC:BFE699)	Rep	Advising on securities	2016-08-09	2018-07-10
	Rep	Asset management	2016-08-09	2018-07-10
	Rep	Dealing in securities	2016-08-09	2018-07-10
JF INTERNATIONAL MANAGEMENT INC.	Rep	Advising on securities	2016-06-22	2016-07-15
	Rep	Asset management	2016-06-22	2016-07-15
JPMorgan Asset Management (Asia Pacific) Limited	Rep	Advising on securities	2016-06-22	2016-07-15
	Rep	Asset management	2016-06-22	2016-07-15
JPMorgan Funds (Asia) Limited	Rep	Advising on securities	2016-06-22	2016-07-15
	Rep	Asset management	2016-06-22	2016-07-15
	Rep	Dealing in securities	2016-06-22	2016-07-15
INVESCO ASSET MANAGEMENT ASIA LIMITED	Rep	Dealing in securities	2015-06-01	2016-06-13
INVESCO HONG KONG LIMITED (TRADING AS INVESCO ASIA PACIFIC)	Rep	Dealing in securities	2015-06-01	2016-06-13
SEI INVESTMENTS (ASIA) LIMITED	Rep	Advising on securities	2013-05-23	2015-05-08
	Rep	Asset management	2013-05-23	2015-05-08
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on securities	2011-08-03	2013-05-07
	Rep	Asset management	2011-08-03	2013-05-07
	Rep	Dealing in securities	2011-08-03	2013-05-07
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Advising on securities	2011-08-03	2013-05-07
	Rep	Asset management	2011-08-03	2013-05-07
	Rep	Dealing in securities	2011-08-03	2013-05-07

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.