Personnel Hong Kong SFC License Details (ID 90066)

Personnel Hong Kong SFC License Details (ID 90066)

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
Pictet Asset Management (Hong Kong) Limited	RO	Advising on securities	2019-07-18	-
	RO	Dealing in securities	2019-07-18	-
	Rep	Advising on securities	2019-07-02	2019-07-18
	Rep	Dealing in securities	2019-07-02	2019-07-18
TCW ASIA LIMITED	RO	Dealing in securities	2015-11-13	2019-06-18
	Rep	Dealing in securities	2015-10-02	2015-11-13
Neuberger Berman Asia Limited	Rep	Advising on securities	2008-03-27	2015-09-06
	Rep	Asset management	2008-03-27	2015-09-06
	Rep	Dealing in securities	2008-03-27	2015-09-06