Personnel Hong Kong SFC License Details (ID 84030)

Personnel Hong Kong SFC License Details (ID 84030)

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
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on securities	2015-04-29	-
	Rep	Asset management	2015-04-29	-
	Rep	Dealing in securities	2015-04-29	-
HSBC Global Asset Management Holdings (Bahamas) Limited	Rep	Advising on securities	2015-04-29	2020-01-20
	Rep	Asset management	2015-04-29	2022-05-26
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Dealing in securities	2015-04-29	-
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	Rep	Advising on securities	2013-12-03	2015-04-15
STATE STREET GLOBAL ADVISORS ASIA LIMITED	Rep	Advising on futures contracts	2013-05-15	2013-08-26
	Rep	Advising on securities	2013-05-15	2013-08-26
INVESCO ASSET MANAGEMENT ASIA LIMITED	Rep	Dealing in securities	2006-09-20	2012-08-11
INVESCO HONG KONG LIMITED (TRADING AS INVESCO ASIA PACIFIC)	Rep	Dealing in securities	2006-09-20	2012-08-11
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Dealing in securities	2004-08-10	2006-09-08
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on corporate finance	2003-04-01	2004-05-05
	Rep	Advising on securities	2003-04-01	2006-09-08
	Rep	Asset management	2003-04-01	2006-09-08