Personnel Hong Kong SFC License Details (ID 85979)

Personnel Hong Kong SFC License Details (ID 85979)

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
STATE STREET GLOBAL ADVISORS ASIA LIMITED	Rep	Advising on futures contracts	2022-10-17	-
	Rep	Advising on securities	2022-10-07	-
	Rep	Dealing in securities	2022-10-07	-
PRINCIPAL INVESTMENT &AMP; RETIREMENT SERVICES LIMITED	Rep	Dealing in securities	2018-12-21	2022-06-30
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	Rep	Advising on securities	2018-09-18	2022-06-30
LOMBARD ODIER (HONG KONG) LIMITED	Rep	Dealing in securities	2011-06-20	2018-07-10
MAN INVESTMENTS (HONG KONG) LIMITED	Rep	Dealing in securities	2005-08-10	2008-11-26
	Rep	Advising on securities	2003-06-09	2008-11-26