Personnel Hong Kong SFC License Details (ID 88545)

Personnel Hong Kong SFC License Details (ID 88545)

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
PACIFIC ALLIANCE INVESTMENT MANAGEMENT (HK) LIMITED	Rep	Dealing in securities	2016-06-17	2017-03-16
	Rep	Asset management	2015-11-02	2017-03-16
Big Bay Asset Management (HK) Limited	Rep	Asset management	2013-11-28	2015-09-30
MIZUHO SECURITIES ASIA LIMITED	Rep	Advising on securities	2009-12-24	2013-11-09
	Rep	Dealing in futures contracts	2009-12-01	2013-11-09
	Rep	Dealing in securities	2009-12-01	2013-11-09
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	-	2004-02-11
	Rep	Advising on securities	-	2004-02-11
	Rep	Providing automated trading services	-	2004-02-11
	Rep	Dealing in securities	-	2009-10-14
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	-	2004-02-11
	Rep	Dealing in futures contracts	-	2009-10-14