Personnel Hong Kong SFC License Details (ID 85729)

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
FCS Capital Limited	RO	Advising on securities	2022-09-20	2023-12-31
	RO	Asset management	2022-09-20	2023-12-31
TNS CAPITAL MANAGEMENT LIMITED	RO	Advising on securities	2020-11-17	2022-09-08
	RO	Asset management	2017-07-07	2022-09-08
Mackenzie Investments Asia Limited	RO	Advising on securities	2015-06-18	2017-04-18
	RO	Asset management	2015-06-18	2017-04-18
	Rep	Advising on securities	2015-04-22	2015-06-18
	Rep	Asset management	2015-04-22	2015-06-18
Victoire Asia Investments Limited	RO	Asset management	2014-08-21	2015-02-18
	Rep	Asset management	2014-07-10	2014-08-21
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	RO	Dealing in securities	2013-10-22	2014-04-30
Legg Mason Asset Management Hong Kong Limited	RO	Asset management	2012-10-12	2014-04-30
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	RO	Advising on securities	2012-10-12	2014-04-30
	RO	Asset management	2012-10-12	2014-04-30
Legg Mason Asset Management Hong Kong Limited	Rep	Dealing in securities	2005-12-01	2013-03-28
	Rep	Asset management	2005-04-19	2012-10-12
	Rep	Advising on securities	2005-04-19	2013-03-28
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	Rep	Advising on securities	2005-04-19	2012-10-12
	Rep	Asset management	2005-04-19	2012-10-12
	Rep	Dealing in securities	2005-04-19	2013-03-28
UBS SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	-	2003-06-25
	Rep	Advising on securities	-	2003-06-25
	Rep	Asset management	-	2003-06-25
	Rep	Dealing in securities	-	2003-06-25