Personnel Hong Kong SFC License Details (ID 97989)

Personnel Hong Kong SFC License Details (ID 97989)

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
Nuveen Hong Kong Limited	Rep	Advising on securities	2022-08-19	-
	Rep	Dealing in securities	2022-08-19	-
FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED	Rep	Advising on securities	2022-07-01	2022-07-20
	Rep	Dealing in securities	2022-07-01	2022-07-20
	Rep	Advising on securities	2019-11-21	2022-06-30
	Rep	Dealing in securities	2019-11-21	2022-06-30
Amundi Hong Kong Limited	Rep	Advising on securities	2019-03-12	2019-10-22
	Rep	Dealing in securities	2019-03-12	2019-10-22
FIL Investment Management (Hong Kong) Limited	Rep	Advising on securities	2013-08-06	2019-02-11
	Rep	Dealing in securities	2013-08-06	2019-02-11
WELLINGTON MANAGEMENT HONG KONG LIMITED	Rep	Advising on securities	2007-04-02	2013-07-24
	Rep	Dealing in securities	2007-04-02	2013-07-24