Personnel Hong Kong SFC License Details (ID 90059)

Personnel Hong Kong SFC License Details (ID 90059)

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
UBS Asset Management (Hong Kong) Limited	Rep	Dealing in securities	2021-12-07	2024-05-14
	Rep	Asset management	2021-11-09	2023-08-14
	Rep	Advising on securities	2021-11-09	2024-05-14
TCA Investments (Hong Kong) Limited	RO	Advising on securities	2019-10-15	2021-10-10
	RO	Asset management	2019-10-15	2021-10-10
BNY Mellon Investment Management Hong Kong Limited	RO	Advising on securities	2017-11-24	2018-10-22
	RO	Asset management	2017-11-24	2018-10-22
	RO	Dealing in securities	2017-11-24	2018-10-22
	Rep	Advising on securities	2014-09-05	2017-11-24
	Rep	Asset management	2014-09-05	2017-11-24
	Rep	Dealing in securities	2014-09-05	2017-11-24
Neuberger Berman Asia Limited	Rep	Advising on securities	2008-04-23	2014-07-01
	Rep	Asset management	2008-04-23	2014-07-01
	Rep	Dealing in securities	2008-04-23	2014-07-01
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on securities	2008-02-28	2008-04-08
	Rep	Dealing in securities	2008-02-28	2008-04-08