Personnel Hong Kong SFC License Details (ID 94266)

Personnel Hong Kong SFC License Details (ID 94266)

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
ST. JAMES'S PLACE (HONG KONG) LIMITED	Rep	Asset management	2019-04-18	2024-09-12
	Rep	Advising on securities	2018-11-14	2024-09-12
	Rep	Dealing in securities	2018-11-14	2024-09-12
SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED	Rep	Advising on securities	2012-09-03	2013-02-28
SHENWAN HONGYUAN ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2008-07-08	2013-02-28
	Rep	Asset management	2008-07-08	2013-02-28
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2004-03-18	2013-02-28
SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED	RO	Advising on corporate finance	-	2004-03-05
	RO	Advising on securities	-	2012-09-03