Personnel Hong Kong SFC License Details (ID 96695)

Personnel Hong Kong SFC License Details (ID 96695)

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
NF Trinity Capital (Hong Kong) Limited	Rep	Asset management	2014-12-15	2017-08-07
NAN FUNG INVESTMENT ADVISER LIMITED	Rep	Asset management	2013-06-11	2014-12-05
UBS Asset Management (Hong Kong) Limited	Rep	Advising on securities	2011-08-01	2013-01-25
	Rep	Asset management	2011-08-01	2013-01-25
Legg Mason Asset Management Hong Kong Limited	Rep	Dealing in securities	2005-12-01	2011-07-06
	Rep	Advising on futures contracts	2004-07-05	2006-05-26
	Rep	Advising on securities	2004-07-05	2011-07-06
	Rep	Asset management	2004-07-05	2011-07-06
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	Rep	Advising on futures contracts	2004-07-05	2006-05-26
	Rep	Advising on securities	2004-07-05	2011-07-06
	Rep	Asset management	2004-07-05	2011-07-06
	Rep	Dealing in securities	2004-07-05	2011-07-06