Personnel SFC Licences and HKMA Registrations (ID 84569)

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
Amundi Hong Kong Limited	RO	Advising on securities	2024-11-21	-
	RO	Asset management	2024-11-21	-
	RO	Dealing in securities	2024-11-21	-
	Rep	Advising on securities	2024-06-14	2024-11-21
	Rep	Asset management	2024-06-14	2024-11-21
	Rep	Dealing in securities	2024-06-14	2024-11-21
Ninety One Hong Kong Limited	RO	Advising on securities	2019-10-30	2024-05-31
	RO	Asset management	2019-10-30	2024-05-31
	RO	Dealing in securities	2019-10-30	2024-05-31
	Rep	Advising on securities	2018-11-13	2019-10-30
	Rep	Dealing in securities	2018-11-13	2019-10-30
Neuberger Berman Asia Limited	Rep	Advising on securities	2014-05-07	2018-11-02
	Rep	Dealing in securities	2014-05-07	2018-11-02
BARING ASSET MANAGEMENT (ASIA) LIMITED	RO	Advising on securities	2014-01-27	2014-04-30
	RO	Asset management	2014-01-27	2014-04-30
	RO	Dealing in securities	2014-01-27	2014-04-30
	Rep	Advising on securities	2013-05-13	2014-01-27
	Rep	Asset management	2013-05-13	2014-01-27
	Rep	Dealing in securities	2013-05-13	2014-01-27
JPMorgan Funds (Asia) Limited	RO	Advising on securities	2007-04-03	2013-04-06
	RO	Asset management	2007-04-03	2013-04-06
	RO	Dealing in securities	2007-04-03	2013-04-06
	Rep	Dealing in securities	2005-09-30	2007-04-03
Allianz Global Investors Hong Kong Limited	Rep	Dealing in securities	2005-04-08	2005-09-28
	Rep	Advising on securities	2003-09-19	2005-08-03
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on corporate finance	2003-04-01	2003-08-20
	Rep	Advising on securities	2003-04-01	2003-08-20
	Rep	Asset management	2003-04-01	2003-08-20
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-08-20
	Rep	Advising on securities	2003-04-01	2003-08-20
	Rep	Asset management	2003-04-01	2003-08-20

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.