Personnel Hong Kong SFC License Details (ID 85727)

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
IMC Asia Pacific Limited	RO	Dealing in futures contracts	2020-10-08	-
	RO	Dealing in securities	2020-10-08	-
	Rep	Dealing in futures contracts	2020-08-18	2020-10-08
	Rep	Dealing in securities	2020-08-18	2020-10-08
TIBRA TRADING HONG KONG LIMITED	RO	Dealing in futures contracts	2019-10-29	2020-07-18
	RO	Dealing in securities	2019-10-29	2020-07-18
BOCOM Schroder Asset Management (Hong Kong) Company Limited	RO	Advising on securities	2016-12-19	2019-08-10
	RO	Dealing in securities	2016-12-19	2019-08-10
	RO	Asset management	2016-08-15	2019-08-10
	Rep	Asset management	2016-06-27	2016-08-15
	Rep	Advising on securities	2016-06-27	2016-12-19
	Rep	Dealing in securities	2016-06-27	2016-12-19
BASIC ASSET MANAGEMENT LIMITED	RO	Asset management	2014-12-15	2016-06-17
	Rep	Asset management	2014-12-10	2014-12-15
Legg Mason Asset Management Hong Kong Limited	RO	Asset management	2014-04-10	2014-07-31
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	RO	Advising on securities	2014-04-10	2014-07-31
	RO	Asset management	2014-04-10	2014-07-31
	RO	Dealing in securities	2014-04-10	2014-07-31
Legg Mason Asset Management Hong Kong Limited	Rep	Advising on futures contracts	2006-02-22	2006-05-26
	Rep	Asset management	2006-02-22	2014-04-10
	Rep	Advising on securities	2006-02-22	2014-07-31
	Rep	Dealing in securities	2006-02-22	2014-07-31
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	Rep	Advising on futures contracts	2006-02-22	2006-05-26
	Rep	Advising on securities	2006-02-22	2014-04-10
	Rep	Asset management	2006-02-22	2014-04-10
	Rep	Dealing in securities	2006-02-22	2014-04-10