Personnel Hong Kong SFC License Details (ID 96701)

Personnel Hong Kong SFC License Details (ID 96701)

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
BEA Union Investment Management Limited	Rep	Advising on securities	2018-09-20	2019-07-31
	Rep	Dealing in securities	2018-09-20	2019-07-31
UBS Asset Management (Hong Kong) Limited	Rep	Dealing in securities	2013-02-01	2014-09-01
	Rep	Advising on securities	2006-08-01	2014-09-01
	Rep	Asset management	2006-08-01	2014-09-01
OppenheimerFunds International Distributor Limited	Rep	Dealing in securities	2005-09-30	2006-06-01
GAM HONG KONG LIMITED	Rep	Advising on corporate finance	-	2004-05-13
	Rep	Advising on securities	-	2004-05-13
	Rep	Asset management	-	2004-05-13
	Rep	Dealing in securities	-	2005-07-22