Personnel Hong Kong SFC License Details (ID 83130)

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
EASTSPRING INVESTMENTS (HONG KONG) LIMITED (TRADING AS EASTSPRING INVESTMENTS)	RO	Dealing in securities	2023-07-25	2025-05-19
	RO	Advising on securities	2022-07-13	2025-05-19
	RO	Asset management	2022-07-13	2025-05-19
	Rep	Advising on securities	2021-10-19	2022-07-13
	Rep	Asset management	2021-10-19	2022-07-13
	Rep	Dealing in securities	2021-10-19	2023-07-25
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on futures contracts	2021-02-10	2021-04-04
	Rep	Advising on securities	2021-02-10	2021-04-04
	Rep	Asset management	2021-02-10	2021-04-04
	Rep	Dealing in futures contracts	2021-02-10	2021-04-04
	Rep	Dealing in securities	2021-02-10	2021-04-04
HSBC Global Asset Management Holdings (Bahamas) Limited	Rep	Asset management	2021-02-10	2021-04-04
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Advising on futures contracts	2021-02-10	2021-04-04
	Rep	Advising on securities	2021-02-10	2021-04-04
	Rep	Asset management	2021-02-10	2021-04-04
	Rep	Dealing in securities	2021-02-10	2021-04-04
HSBC Global Asset Management (Hong Kong) Limited	RO	Dealing in futures contracts	2015-04-17	2021-02-10
	RO	Advising on securities	2012-05-24	2021-02-10
HSBC Global Asset Management Holdings (Bahamas) Limited	RO	Advising on securities	2012-05-24	2020-03-02
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	RO	Advising on securities	2012-05-24	2021-02-10
Halbis Capital Management (Hong Kong) Limited	RO	Advising on futures contracts	2011-09-19	2011-12-31
	RO	Asset management	2011-09-19	2011-12-31
	RO	Dealing in securities	2011-09-19	2011-12-31
HSBC Global Asset Management (Hong Kong) Limited	RO	Advising on futures contracts	2011-09-19	2021-02-10
	RO	Asset management	2011-09-19	2021-02-10
	RO	Dealing in securities	2011-09-19	2021-02-10
HSBC Global Asset Management Holdings (Bahamas) Limited	RO	Advising on futures contracts	2011-09-19	2020-03-02
	RO	Asset management	2011-09-19	2021-02-10
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	RO	Advising on futures contracts	2011-09-19	2021-02-10
	RO	Asset management	2011-09-19	2021-02-10
	RO	Dealing in securities	2011-09-19	2021-02-10
HSBC Global Asset Management (Hong Kong) Limited	Rep	Dealing in securities	2006-04-26	2011-09-19
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Dealing in securities	2006-04-26	2011-09-19
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on futures contracts	-	2011-09-19
	Rep	Asset management	-	2011-09-19