Personnel Hong Kong SFC License Details (ID 96614)

Personnel Hong Kong SFC License Details (ID 96614)

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
MASON INVESTMENT MANAGEMENT LIMITED	RO	Dealing in securities	2019-03-22	2019-10-22
	RO	Advising on securities	2018-07-11	2019-10-22
	RO	Asset management	2018-07-11	2019-10-22
THOMAS GLOBAL FINANCIAL SERVICES LIMITED	RO	Dealing in securities	2018-07-11	2019-03-25
MASON INVESTMENT MANAGEMENT LIMITED	Rep	Advising on securities	2018-01-31	2018-07-11
	Rep	Asset management	2018-01-31	2018-07-11
Mason Securities Limited	Rep	Dealing in securities	2018-01-31	2019-07-05
UBP ASSET MANAGEMENT ASIA LIMITED	RO	Advising on securities	2010-12-15	2017-08-09
	RO	Asset management	2010-12-15	2017-08-09
	RO	Dealing in securities	2010-12-15	2017-08-09
GENERALI INVESTMENTS ASIA LIMITED	RO	Dealing in futures contracts	2008-05-30	2008-06-27
	RO	Advising on futures contracts	2007-12-28	2008-06-27
	RO	Dealing in securities	2007-12-28	2010-06-30
	RO	Advising on securities	2007-12-05	2010-06-30
	RO	Asset management	2007-12-05	2010-06-30
BNP PARIBAS DEALING SERVICES ASIA LIMITED	Rep	Dealing in securities	2004-06-07	2007-09-13
	Rep	Advising on corporate finance	-	2003-08-16
	Rep	Advising on securities	-	2004-06-07
	Rep	Asset management	-	2007-09-13