Personnel Hong Kong SFC License Details (ID 83109)

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
STATE STREET GLOBAL ADVISORS ASIA LIMITED	RO	Advising on futures contracts	2017-09-08	-
	RO	Advising on securities	2017-09-08	-
	RO	Asset management	2017-09-08	-
STATE STREET GLOBAL ADVISORS SINGAPORE LIMITED	RO	Advising on securities	2017-09-08	-
	RO	Asset management	2017-09-08	-
STATE STREET GLOBAL ADVISORS ASIA LIMITED	Rep	Advising on futures contracts	2015-02-04	2017-09-08
	Rep	Advising on securities	2015-02-04	2017-09-08
	Rep	Asset management	2015-02-04	2017-09-08
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on futures contracts	2014-10-23	2015-01-02
	Rep	Advising on securities	2014-10-23	2015-01-02
	Rep	Asset management	2014-10-23	2015-01-02
	Rep	Dealing in securities	2014-10-23	2015-01-02
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Dealing in securities	2014-10-23	2015-01-02
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on futures contracts	2010-07-19	2013-01-02
	Rep	Advising on securities	2010-07-19	2013-01-02
	Rep	Asset management	2010-07-19	2013-01-02
	Rep	Dealing in securities	2010-07-19	2013-01-02
SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED	Rep	Advising on futures contracts	2010-07-19	2011-08-31
	Rep	Advising on securities	2010-07-19	2011-08-31
	Rep	Asset management	2010-07-19	2011-08-31
	Rep	Dealing in securities	2010-07-19	2011-08-31
Legg Mason Asset Management Hong Kong Limited	RO	Advising on securities	2010-04-13	2010-06-26
	RO	Asset management	2010-04-13	2010-06-26
	RO	Dealing in securities	2010-04-13	2010-06-26
	Rep	Dealing in securities	2006-05-09	2010-04-13
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	Rep	Dealing in securities	2006-05-09	2008-09-01
Legg Mason Asset Management Hong Kong Limited	Rep	Advising on futures contracts	2006-04-29	2006-05-26
	Rep	Advising on securities	2006-04-29	2010-04-13
	Rep	Asset management	2006-04-29	2010-04-13
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	Rep	Advising on futures contracts	2006-04-29	2006-05-26
	Rep	Advising on securities	2006-04-29	2008-09-01
	Rep	Asset management	2006-04-29	2008-09-01
STATE STREET GLOBAL ADVISORS SINGAPORE LIMITED	Rep	Advising on securities	2005-07-05	2006-04-18
	Rep	Asset management	2005-07-05	2006-04-18
STATE STREET GLOBAL ADVISORS ASIA LIMITED	Rep	Advising on futures contracts	2003-04-28	2006-04-18
	Rep	Advising on securities	2003-04-28	2006-04-18
	Rep	Asset management	2003-04-28	2006-04-18