Personnel Hong Kong SFC License Details (ID 90070)

Personnel Hong Kong SFC License Details (ID 90070)

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
Green Court Capital Management Limited	Rep	Advising on securities	2017-04-28	2021-08-31
	Rep	Asset management	2017-04-28	2021-08-31
Neuberger Berman Asia Limited	Rep	Advising on securities	2011-07-25	2017-04-28
	Rep	Asset management	2011-07-25	2017-04-28
	Rep	Dealing in securities	2011-07-25	2017-04-28
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2010-12-14	2011-01-28
	Rep	Dealing in securities	2010-12-14	2011-01-28
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2008-10-28	2010-02-12
	Rep	Advising on securities	2008-10-28	2010-02-12
	Rep	Dealing in securities	2008-10-28	2010-02-12