Personnel Hong Kong SFC License Details (ID 97564)

Personnel Hong Kong SFC License Details (ID 97564)

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
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on futures contracts	2025-12-05	-
	Rep	Asset management	2018-11-19	-
	Rep	Dealing in securities	2018-11-19	-
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Dealing in securities	2018-11-19	-
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on securities	2018-10-22	-
Daiwa Capital Markets Hong Kong Limited	Rep	Advising on securities	2013-11-25	2018-05-25
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Advising on securities	2011-06-01	2013-11-17