Personnel Hong Kong SFC License Details (ID 92669)

Personnel Hong Kong SFC License Details (ID 92669)

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
Neuberger Berman Asia Limited	Rep	Advising on securities	2015-03-06	-
	Rep	Dealing in securities	2015-03-06	-
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	Rep	Advising on securities	2009-09-29	2013-09-13
Legg Mason Asset Management Hong Kong Limited	Rep	Dealing in securities	2005-12-01	2006-07-01
	Rep	Asset management	2005-02-07	2006-07-01
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	Rep	Asset management	2005-02-07	2006-07-01
Legg Mason Asset Management Hong Kong Limited	Rep	Advising on corporate finance	2003-04-01	2004-08-09
	Rep	Asset management	2003-04-01	2004-08-09
	Rep	Advising on futures contracts	2003-04-01	2006-07-01
	Rep	Advising on securities	2003-04-01	2006-07-01
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	Rep	Advising on corporate finance	2003-04-01	2004-08-09
	Rep	Asset management	2003-04-01	2004-08-09
	Rep	Advising on futures contracts	2003-04-01	2006-07-01
	Rep	Advising on securities	2003-04-01	2006-07-01
	Rep	Dealing in securities	2003-04-01	2006-07-01