Personnel Hong Kong SFC License Details (ID 84059)

Personnel Hong Kong SFC License Details (ID 84059)

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
Ninety One Hong Kong Limited	Rep	Dealing in futures contracts	2023-09-26	-
	Rep	Advising on securities	2014-04-09	-
	Rep	Asset management	2014-04-09	-
	Rep	Dealing in securities	2014-04-09	-
INVESTEC ASSET MANAGEMENT ASIA LIMITED	Rep	Advising on securities	2011-05-23	2014-06-30
	Rep	Asset management	2011-05-23	2014-06-30
	Rep	Dealing in securities	2011-05-23	2014-06-30
Neuberger Berman Asia Limited	Rep	Advising on securities	2008-04-23	2011-03-14
	Rep	Asset management	2008-04-23	2011-03-14
	Rep	Dealing in securities	2008-04-23	2011-03-14
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in securities	2008-01-02	2008-03-20
D. B. ZWIRN ASIA PARTNERS LIMITED	Rep	Advising on securities	2006-04-03	2007-09-13
	Rep	Dealing in securities	2006-04-03	2007-09-13