Personnel Hong Kong SFC License Details (ID 98774)

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
CCB Principal Asset Management (Hong Kong) Co., Limited	RO	Advising on securities	2020-07-07	2022-09-23
	RO	Asset management	2020-07-07	2022-09-23
China Vered Asset Management (Hong Kong) Limited	RO	Advising on securities	2018-02-05	2019-05-08
	RO	Asset management	2018-02-05	2019-05-08
	Rep	Advising on securities	2017-11-29	2018-02-05
	Rep	Asset management	2017-11-29	2018-02-05
Amundi Hong Kong Limited	RO	Advising on securities	2015-12-07	2017-05-31
	RO	Asset management	2015-12-07	2017-05-31
	RO	Dealing in securities	2015-12-07	2017-05-31
	Rep	Advising on securities	2015-10-23	2015-12-07
	Rep	Asset management	2015-10-23	2015-12-07
	Rep	Dealing in securities	2015-10-23	2015-12-07
CIFM Asset Management (Hong Kong) Limited	RO	Advising on securities	2014-12-15	2015-09-22
	RO	Asset management	2014-12-15	2015-09-22
	RO	Dealing in securities	2014-12-15	2015-09-22
	Rep	Advising on securities	2014-10-15	2014-12-15
	Rep	Asset management	2014-10-15	2014-12-15
	Rep	Dealing in securities	2014-10-15	2014-12-15
JPMorgan Asset Management (Asia Pacific) Limited	Rep	Advising on securities	2013-03-28	2014-09-13
	Rep	Asset management	2013-03-28	2014-09-13
JPMorgan Funds (Asia) Limited	Rep	Dealing in securities	2013-03-28	2014-09-13
China Asset Management (Hong Kong) Limited	RO	Advising on securities	2009-10-12	2013-01-02
	RO	Asset management	2009-10-12	2013-01-02
	Rep	Advising on securities	2009-09-24	2009-10-12
	Rep	Asset management	2009-09-24	2009-10-12
FIL Investment Management (Hong Kong) Limited	Rep	Dealing in securities	2009-01-29	2009-08-28
FIL Investment Advisors	Rep	Advising on futures contracts	2006-07-17	2009-01-01
FIL Investment Management (Hong Kong) Limited	Rep	Advising on futures contracts	2006-07-17	2009-08-28
FIL Investment Advisors	Rep	Advising on corporate finance	-	2004-10-19
	Rep	Advising on securities	-	2009-01-01
	Rep	Asset management	-	2009-01-01
FIL Investment Management (Hong Kong) Limited	Rep	Advising on corporate finance	-	2004-10-19
	Rep	Dealing in securities	-	2004-10-19
	Rep	Advising on securities	-	2009-08-28
	Rep	Asset management	-	2009-08-28