Personnel Hong Kong SFC License Details (ID 84577)

Personnel Hong Kong SFC License Details (ID 84577)

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
Neuberger Berman Asia Limited	RO	Advising on securities	2020-12-04	-
	RO	Dealing in securities	2020-12-04	-
	Rep	Advising on securities	2014-06-16	2020-12-04
	Rep	Dealing in securities	2014-06-16	2020-12-04
BNY Mellon Investment Management Hong Kong Limited	Rep	Advising on securities	2013-05-10	2014-06-06
	Rep	Dealing in securities	2013-05-03	2014-06-06
JPMorgan Funds (Asia) Limited	Rep	Dealing in securities	2011-08-04	2013-04-24
BARING ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2005-08-01	2011-08-01
	Rep	Dealing in securities	2005-08-01	2011-08-01