Personnel Hong Kong SFC License Details (ID 96696)

Personnel Hong Kong SFC License Details (ID 96696)

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
KKR Capital Markets Asia II Limited	Rep	Advising on securities	2024-06-19	-
	Rep	Dealing in securities	2024-06-19	-
KKR CAPITAL MARKETS ASIA LIMITED	Rep	Advising on securities	2023-02-22	2024-06-18
	Rep	Dealing in securities	2023-02-22	2024-06-18
Neuberger Berman Asia Limited	Rep	Advising on securities	2014-06-12	2022-12-16
	Rep	Dealing in securities	2014-06-12	2022-12-16
BEA Union Investment Management Limited	Rep	Advising on securities	2012-05-10	2014-06-01
	Rep	Dealing in securities	2012-05-10	2014-06-01
UBS Asset Management (Hong Kong) Limited	Rep	Advising on securities	2011-04-08	2012-05-01
	Rep	Asset management	2011-04-08	2012-05-01
Allianz Global Investors Hong Kong Limited	Rep	Advising on securities	2007-10-25	2011-04-01
	Rep	Dealing in securities	2007-10-25	2011-04-01