Personnel Hong Kong SFC License Details (ID 85963)

Personnel Hong Kong SFC License Details (ID 85963)

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
Polen Capital HK Limited	Rep	Advising on securities	2012-10-04	2015-09-01
	Rep	Dealing in securities	2012-10-04	2015-09-01
LLOYD GEORGE INVESTMENT MANAGEMENT (HONG KONG) LIMITED	Rep	Dealing in securities	2007-10-29	2012-10-31
	Rep	Asset management	2007-09-11	2008-01-22
	Rep	Advising on securities	2007-09-11	2012-10-31
BNP PARIBAS PEREGRINE FUTURES LIMITED	Rep	Advising on futures contracts	-	2003-04-02
	Rep	Asset management	-	2003-04-02
	Rep	Dealing in futures contracts	-	2003-04-02
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	-	2003-04-02
	Rep	Advising on securities	-	2003-04-02
	Rep	Asset management	-	2003-04-02
	Rep	Dealing in securities	-	2003-04-02