Personnel Hong Kong SFC License Details (ID 96253)

Personnel Hong Kong SFC License Details (ID 96253)

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
PGIM (Hong Kong) Limited	Rep	Advising on securities	2024-09-01	-
	Rep	Dealing in securities	2024-09-01	-
	Rep	Advising on securities	2024-06-21	2024-08-31
	Rep	Dealing in securities	2024-06-21	2024-08-31
SCHRODER INVESTMENT MANAGEMENT (HONG KONG) LIMITED	Rep	Dealing in securities	2023-04-24	2024-06-05
Amundi Hong Kong Limited	Rep	Dealing in securities	2022-08-01	2023-04-02
THREADNEEDLE PORTFOLIO SERVICES HONG KONG LIMITED	RO	Dealing in securities	2017-07-31	2022-07-12
	Rep	Dealing in securities	2011-05-09	2017-07-31
Janus Henderson Investors Hong Kong Limited	Rep	Advising on securities	2003-07-02	2005-11-01
	Rep	Dealing in securities	2003-07-02	2005-11-01
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2003-04-01	2003-06-16
	Rep	Advising on securities	2003-04-01	2003-06-16
	Rep	Asset management	2003-04-01	2003-06-16
	Rep	Providing automated trading services	2003-04-01	2003-06-16
	Rep	Dealing in securities	2003-04-01	2003-06-16
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2003-04-01	2003-06-16
	Rep	Advising on securities	2003-04-01	2003-06-16
	Rep	Asset management	2003-04-01	2003-06-16
	Rep	Dealing in securities	2003-04-01	2003-06-16