Personnel Hong Kong SFC License Details (ID 85723)

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
BOCOM Schroder Asset Management (Hong Kong) Company Limited	Rep	Advising on securities	2014-09-01	2016-08-01
	Rep	Asset management	2014-09-01	2016-08-01
	Rep	Dealing in securities	2014-09-01	2016-08-01
Legg Mason Asset Management Hong Kong Limited	RO	Asset management	2013-09-17	2014-07-31
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	RO	Advising on securities	2013-09-17	2014-07-31
	RO	Asset management	2013-09-17	2014-07-31
	RO	Dealing in securities	2013-09-17	2014-07-31
Legg Mason Asset Management Hong Kong Limited	RO	Advising on securities	2006-04-06	2013-03-31
	RO	Dealing in securities	2006-04-06	2013-03-31
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	RO	Advising on securities	2006-04-06	2013-03-31
	RO	Dealing in securities	2006-04-06	2013-03-31
Legg Mason Asset Management Hong Kong Limited	Rep	Dealing in securities	2005-12-02	2006-04-06
	RO	Advising on futures contracts	2005-07-28	2006-05-26
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	RO	Advising on futures contracts	2005-07-28	2006-05-26
Legg Mason Asset Management Hong Kong Limited	RO	Asset management	2004-12-15	2013-03-31
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	RO	Asset management	2004-12-15	2013-03-31
Legg Mason Asset Management Hong Kong Limited	Rep	Advising on corporate finance	-	2004-10-29
	Rep	Asset management	-	2004-12-15
	Rep	Advising on futures contracts	-	2005-07-28
	Rep	Advising on securities	-	2006-04-06
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	Rep	Advising on corporate finance	-	2004-10-29
	Rep	Asset management	-	2004-12-15
	Rep	Advising on futures contracts	-	2005-07-28
	Rep	Advising on securities	-	2006-04-06
	Rep	Dealing in securities	-	2006-04-06