Personnel Hong Kong SFC License Details (ID 93449)

Personnel Hong Kong SFC License Details (ID 93449)

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
FIL Investment Management (Hong Kong) Limited	Rep	Advising on securities	2026-08-26	-
	Rep	Dealing in securities	2026-08-26	-
SCHRODER INVESTMENT MANAGEMENT (HONG KONG) LIMITED	RO	Advising on securities	2024-01-19	2026-07-17
	RO	Dealing in securities	2024-01-19	2026-07-17
	Rep	Advising on securities	2021-04-14	2024-01-19
	Rep	Dealing in securities	2021-04-14	2024-01-19
	RO	Advising on securities	2012-11-16	2021-04-14
	RO	Dealing in securities	2012-11-16	2021-04-14
	Rep	Asset management	2012-09-12	2012-10-19
	Rep	Advising on securities	2012-09-12	2012-11-16
	Rep	Dealing in securities	2012-09-12	2012-11-16
Allianz Global Investors Asia Pacific Limited (SFC:AOA171)	Rep	Advising on securities	2012-01-13	2012-08-25
	Rep	Dealing in securities	2012-01-13	2012-08-25
	RO	Advising on securities	2009-03-11	2012-01-13
	RO	Dealing in securities	2009-03-11	2012-01-13