Personnel SFC Licences and HKMA Registrations (ID 85726)

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
Pictet Asset Management (Hong Kong) Limited	RO	Advising on securities	2020-12-16	-
	RO	Dealing in securities	2020-12-16	-
	Rep	Advising on securities	2020-11-16	2020-12-16
	Rep	Dealing in securities	2020-11-16	2020-12-16
Legg Mason Asset Management Hong Kong Limited	RO	Advising on securities	2010-03-29	2020-10-30
	RO	Dealing in securities	2010-03-29	2020-10-30
	Rep	Advising on securities	2009-11-09	2010-03-29
	Rep	Dealing in securities	2009-11-09	2010-03-29
Pictet Asset Management (Hong Kong) Limited	Rep	Advising on securities	2009-09-02	2009-10-16
	Rep	Dealing in securities	2007-02-06	2009-10-16
Legg Mason Asset Management Hong Kong Limited	Rep	Dealing in securities	2005-12-01	2006-06-24
	Rep	Asset management	2004-11-26	2006-06-24
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	Rep	Asset management	2004-11-26	2006-06-24
Legg Mason Asset Management Hong Kong Limited	Rep	Advising on securities	2004-10-19	2006-06-24
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	Rep	Advising on securities	2004-10-19	2006-06-24
	Rep	Dealing in securities	2004-10-19	2006-06-24
Janus Henderson Investors Hong Kong Limited	Rep	Advising on corporate finance	2003-04-01	2004-09-24
	Rep	Asset management	2003-04-01	2004-09-24
	Rep	Advising on securities	2003-04-01	2004-09-30
	Rep	Dealing in securities	2003-04-01	2004-09-30

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.