Personnel Hong Kong SFC License Details (ID 95145)

Personnel Hong Kong SFC License Details (ID 95145)

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
Neuberger Berman Asia Limited	RO	Asset management	2014-09-24	2025-01-03
	RO	Dealing in securities	2014-09-24	2025-01-03
	Rep	Asset management	2014-07-10	2014-09-24
	Rep	Dealing in securities	2014-07-10	2014-09-24
STANDARD LIFE INVESTMENTS (ASIA) LIMITED	RO	Asset management	2010-03-22	2011-02-28
STANDARD LIFE INVESTMENTS (HONG KONG) LIMITED	RO	Asset management	2010-03-22	2014-04-17
	RO	Dealing in securities	2010-03-22	2014-04-17
STANDARD LIFE INVESTMENTS (ASIA) LIMITED	Rep	Asset management	2007-11-27	2010-03-22
STANDARD LIFE INVESTMENTS (HONG KONG) LIMITED	Rep	Asset management	2007-11-27	2010-03-22
	Rep	Dealing in securities	2007-11-27	2010-03-22
Credit Agricole Securities (Asia) Limited	Rep	Advising on corporate finance	-	2004-09-24
	Rep	Asset management	-	2004-09-24
	Rep	Advising on securities	-	2006-03-14