Personnel Hong Kong SFC License Details (ID 92229)

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
ALLSPRING GLOBAL INVESTMENTS (HONG KONG) LIMITED	RO	Advising on securities	2023-01-11	2025-03-31
	RO	Dealing in securities	2023-01-11	2025-03-31
Income Partners Asset Management (HK) Limited	Rep	Asset management	2021-04-16	2021-11-22
	Rep	Advising on securities	2021-03-29	2021-11-22
Vanguard Investments Hong Kong Limited	RO	Advising on securities	2012-10-19	2021-02-26
	RO	Dealing in securities	2012-10-19	2021-02-26
	Rep	Advising on securities	2012-08-16	2012-10-19
	Rep	Dealing in securities	2012-08-16	2012-10-19
PineBridge Investments Asia Limited	RO	Dealing in securities	2011-02-02	2012-05-21
PineBridge Investments Hong Kong Limited	RO	Dealing in securities	2011-02-02	2012-05-21
PineBridge Investments Asia Limited	Rep	Dealing in securities	2009-04-03	2011-02-02
	Rep	Advising on securities	2008-07-02	2012-05-21
PineBridge Investments Hong Kong Limited	Rep	Dealing in securities	2008-07-02	2011-02-02
HENDERSON GLOBAL INVESTORS (HONG KONG) LIMITED	RO	Advising on securities	2006-01-05	2008-06-05
	RO	Dealing in securities	2006-01-05	2008-06-05
	Rep	Advising on securities	2005-03-10	2006-01-05
	Rep	Dealing in securities	2005-03-10	2006-01-05
PRINCIPAL GLOBAL INVESTORS (ASIA) LIMITED	Rep	Advising on securities	2004-03-23	2005-01-21
	Rep	Dealing in securities	2004-03-23	2005-01-21
Mason Securities Limited	Rep	Advising on corporate finance	-	2003-11-18
	Rep	Asset management	-	2003-11-18
	Rep	Advising on securities	-	2003-11-25
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	Rep	Advising on corporate finance	-	2003-11-18
	Rep	Asset management	-	2003-11-18
	Rep	Advising on securities	-	2003-11-25