Personnel Hong Kong SFC License Details (ID 93891)

Personnel Hong Kong SFC License Details (ID 93891)

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
CBH Asia Limited	Rep	Advising on futures contracts	2026-06-11	2026-06-20
	Rep	Dealing in futures contracts	2026-06-11	2026-06-20
	RO	Advising on futures contracts	2025-08-06	2026-06-11
	RO	Dealing in futures contracts	2025-08-06	2026-06-11
	RO	Advising on securities	2025-08-06	2026-06-20
	RO	Dealing in securities	2025-08-06	2026-06-20
	Rep	Advising on futures contracts	2025-05-15	2025-08-06
	Rep	Advising on securities	2025-05-15	2025-08-06
	Rep	Dealing in futures contracts	2025-05-15	2025-08-06
	Rep	Dealing in securities	2025-05-15	2025-08-06
	Rep	Asset management	2025-05-15	2026-06-20
LGT INVESTMENT MANAGEMENT (ASIA) LIMITED	Rep	Dealing in securities	2021-07-06	2024-11-29
SARASIN RABO INVESTMENT MANAGEMENT LIMITED	RO	Advising on securities	2008-06-03	2011-10-28
	RO	Dealing in securities	2008-06-03	2011-10-28
	Rep	Advising on corporate finance	-	2004-10-12
	Rep	Asset management	-	2004-10-12
	Rep	Advising on securities	-	2008-06-03
	Rep	Dealing in securities	-	2008-06-03