Personnel Hong Kong SFC License Details (ID 93942)

Personnel Hong Kong SFC License Details (ID 93942)

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
Amundi Hong Kong Limited	Rep	Advising on securities	2021-06-15	2022-02-28
	Rep	Asset management	2021-06-15	2022-02-28
	Rep	Dealing in securities	2021-06-15	2022-02-28
Carret Private Capital Limited	Rep	Asset management	2021-03-15	2021-05-31
	Rep	Advising on securities	2020-11-20	2021-05-31
	Rep	Dealing in securities	2020-11-20	2021-05-31
SCHRODER INVESTMENT MANAGEMENT (HONG KONG) LIMITED	Rep	Advising on securities	2009-09-28	2019-04-03
	Rep	Asset management	2009-09-28	2019-04-03
	Rep	Dealing in securities	2009-09-28	2019-04-03
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2006-09-29	2008-04-17