Personnel Hong Kong SFC License Details (ID 86757)

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
Cambridge Associates Hong Kong Private Limited	RO	Dealing in securities	2024-05-06	2026-05-01
	RO	Advising on securities	2022-03-29	2026-05-01
Towers Watson Investment Services Hong Kong Limited	RO	Advising on securities	2019-05-17	2021-01-24
	RO	Dealing in securities	2019-05-17	2021-01-24
Legg Mason Asset Management Hong Kong Limited	RO	Advising on securities	2017-08-28	2018-05-03
	RO	Dealing in securities	2017-08-28	2018-05-03
	Rep	Advising on securities	2016-04-25	2017-08-28
	Rep	Dealing in securities	2016-04-25	2017-08-28
CHINA EVERBRIGHT ASSETS MANAGEMENT LIMITED	Rep	Advising on securities	2015-01-14	2016-04-23
	Rep	Asset management	2015-01-14	2016-04-23
Everbright Capital Management Limited	Rep	Advising on securities	2015-01-14	2016-04-23
	Rep	Asset management	2015-01-14	2016-04-23
LGT CAPITAL PARTNERS (ASIA-PACIFIC) LIMITED	Rep	Advising on securities	2012-08-15	2014-03-29
	Rep	Dealing in securities	2012-08-15	2014-03-29
Manulife Investment Management (Hong Kong) Limited	Rep	Advising on securities	2010-07-09	2012-06-21
	Rep	Dealing in securities	2010-07-09	2012-06-21
MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITED	Rep	Advising on securities	2008-10-27	2010-01-31
	Rep	Asset management	2008-10-27	2010-01-31
NNIP HONG KONG LIMITED	Rep	Advising on securities	2006-03-21	2008-10-11
	Rep	Asset management	2006-03-21	2008-10-11
	Rep	Dealing in securities	2006-03-21	2008-10-11
Legg Mason Asset Management Hong Kong Limited	Rep	Dealing in securities	2005-12-01	2006-03-01
	Rep	Advising on securities	2005-01-18	2006-03-01
	Rep	Asset management	2005-01-18	2006-03-01
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	Rep	Advising on securities	2005-01-18	2006-03-01
	Rep	Asset management	2005-01-18	2006-03-01
	Rep	Dealing in securities	2005-01-18	2006-03-01