Personnel Hong Kong SFC License Details (ID 88377)

Personnel Hong Kong SFC License Details (ID 88377)

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
TRANSPAC CAPITAL LIMITED	Rep	Advising on securities	2019-11-11	2020-01-29
	Rep	Asset management	2019-11-11	2020-01-29
GOHO INTERNATIONAL ASSET MANAGEMENT LIMITED	RO	Advising on securities	2019-01-28	2019-10-02
	RO	Asset management	2019-01-28	2019-10-02
CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED	RO	Advising on securities	2016-01-15	2017-06-16
	RO	Asset management	2016-01-15	2017-06-16
	Rep	Advising on securities	2015-09-29	2016-01-15
	Rep	Asset management	2015-09-29	2016-01-15
WGC Investment Services Limited	RO	Advising on securities	2014-03-26	2015-08-31
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED	RO	Advising on securities	2011-10-31	2012-06-18
	RO	Dealing in securities	2011-10-31	2012-06-18
	Rep	Advising on securities	2011-06-27	2011-10-31
	Rep	Dealing in securities	2011-06-27	2011-10-31
	Rep	Asset management	2011-06-27	2012-06-18
PING AN OF CHINA ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED	RO	Advising on securities	2008-06-23	2010-06-25
	Rep	Asset management	2008-06-12	2010-06-25
	Rep	Advising on securities	2008-05-29	2008-06-23
BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED	Rep	Advising on securities	2006-03-31	2007-09-22
	Rep	Dealing in securities	2006-03-31	2007-09-22