Personnel Hong Kong SFC License Details (ID 96727)

Personnel Hong Kong SFC License Details (ID 96727)

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
Neuberger Berman Asia Limited	Rep	Advising on securities	2012-10-25	2015-07-01
	Rep	Dealing in securities	2012-10-25	2015-07-01
	Rep	Advising on securities	2012-02-28	2012-09-03
	Rep	Asset management	2012-02-28	2012-09-03
	Rep	Dealing in securities	2012-02-28	2012-09-03
UBS Asset Management (Hong Kong) Limited	Rep	Asset management	2005-09-28	2011-09-26
	Rep	Advising on securities	2005-09-26	2011-09-26
Janus Henderson Investors Hong Kong Limited	Rep	Advising on securities	2003-07-07	2005-09-15
	Rep	Dealing in securities	2003-07-07	2005-09-15
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on corporate finance	-	2003-06-02
	Rep	Advising on securities	-	2003-06-02
	Rep	Asset management	-	2003-06-02
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Advising on corporate finance	-	2003-06-02
	Rep	Advising on securities	-	2003-06-02
	Rep	Asset management	-	2003-06-02