Personnel Hong Kong SFC License Details (ID 95074)

Personnel Hong Kong SFC License Details (ID 95074)

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
SPARC CAPITAL MANAGEMENT LIMITED	RO	Advising on securities	2026-06-02	-
	RO	Asset management	2026-06-02	-
Siegfried Asset Management Limited (HK)	RO	Advising on securities	2019-01-17	2026-04-30
	RO	Asset management	2019-01-17	2026-04-30
	RO	Dealing in securities	2019-01-17	2026-04-30
HuaAn Asset Management (Hong Kong) Limited	Rep	Advising on securities	2015-02-11	2018-12-31
	Rep	Asset management	2015-02-11	2018-12-31
MIS SERVICES LIMITED (d2019-06-01)	Rep	Asset management	2010-11-19	2012-09-01
Manulife Investment Management (Hong Kong) Limited	Rep	Advising on futures contracts	2007-07-05	2008-05-01
	Rep	Advising on securities	2007-07-05	2008-05-01
	Rep	Asset management	2007-07-05	2008-05-01
PineBridge Investments Asia Limited	Rep	Advising on securities	2006-06-16	2006-11-10
	Rep	Asset management	2006-06-16	2006-11-10
PineBridge Investments Hong Kong Limited	Rep	Dealing in securities	2006-06-16	2006-11-10
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-04-01
	Rep	Advising on securities	2003-04-01	2004-04-01
	Rep	Asset management	2003-04-01	2004-04-01