Personnel Hong Kong SFC License Details (ID 95026)

Personnel Hong Kong SFC License Details (ID 95026)

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
Pleiad Investment Advisors Limited	RO	Advising on securities	2024-12-09	-
	RO	Dealing in securities	2024-12-09	-
	RO	Asset management	2014-06-13	-
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2012-05-15	2014-04-12
SPARX Asia Investment Advisors Limited	RO	Advising on securities	2011-07-21	2012-03-31
	RO	Asset management	2011-07-21	2012-03-31
MCP Asset Management Company Limited	RO	Advising on securities	2009-12-14	2010-11-30
	RO	Asset management	2009-12-14	2010-11-30
	RO	Advising on securities	2006-12-28	2009-06-17
	RO	Asset management	2006-12-28	2009-06-17