Personnel Hong Kong SFC License Details (ID 89642)

Personnel Hong Kong SFC License Details (ID 89642)

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
BNY Mellon Investment Management Hong Kong Limited	Rep	Advising on securities	2021-12-13	2022-02-23
	Rep	Asset management	2021-12-13	2022-02-23
	Rep	Dealing in securities	2021-12-13	2022-02-23
Cynergy Asset Management Limited	Rep	Asset management	2017-07-26	2018-05-31
	Rep	Advising on securities	2017-07-11	2018-05-31
SP Securities Limited	Rep	Advising on securities	2016-08-15	2017-06-02
	Rep	Dealing in securities	2016-08-15	2017-06-02
VONTOBEL WEALTH MANAGEMENT (HONG KONG) LIMITED	Rep	Advising on securities	2016-06-10	2016-07-31
	Rep	Dealing in securities	2016-06-10	2016-07-31
Morgan Stanley Asia Limited	Rep	Dealing in securities	2011-04-08	2012-02-17
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2011-04-08	2012-02-17
Allianz Global Investors Hong Kong Limited	Rep	Advising on corporate finance	-	2003-07-23
	Rep	Advising on securities	-	2003-07-23
	Rep	Asset management	-	2003-07-23