Personnel Hong Kong SFC License Details (ID 92645)

Personnel Hong Kong SFC License Details (ID 92645)

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
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on futures contracts	2021-07-23	-
	Rep	Advising on securities	2011-12-07	-
	Rep	Asset management	2011-12-07	-
	Rep	Dealing in securities	2011-12-07	-
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Dealing in securities	2011-12-07	-
PRINCIPAL INVESTMENT &AMP; RETIREMENT SERVICES LIMITED	RO	Advising on securities	2011-08-17	2011-11-25
	RO	Dealing in securities	2011-08-17	2011-11-25
PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED	RO	Advising on securities	2010-07-05	2011-11-25
	RO	Asset management	2010-07-05	2011-11-25
	Rep	Advising on securities	2010-05-10	2010-07-05
	Rep	Asset management	2010-05-10	2010-07-05
AXA Investment Managers Asia Limited	Rep	Dealing in securities	2005-07-28	2010-04-06
	Rep	Advising on futures contracts	2005-04-12	2010-04-06
	Rep	Advising on securities	2005-04-12	2010-04-06
	Rep	Asset management	2005-04-12	2010-04-06
AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED (TRADING AS AXA ROSENBERG ASIA PACIFIC; AXA INVESTMENT MANAGERS)	Rep	Advising on futures contracts	2005-04-12	2010-04-06
	Rep	Advising on securities	2005-04-12	2010-04-06
	Rep	Asset management	2005-04-12	2010-04-06
	Rep	Dealing in securities	2005-04-12	2010-04-06