Personnel Hong Kong SFC License Details (ID 98778)

Personnel Hong Kong SFC License Details (ID 98778)

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
China Asset Management (Hong Kong) Limited	Rep	Advising on securities	2023-07-31	-
	Rep	Asset management	2023-07-31	-
	Rep	Dealing in securities	2023-07-31	-
I WIN SECURITIES LIMITED	Rep	Dealing in securities	2022-10-25	2023-06-23
China Asset Management (Hong Kong) Limited	Rep	Advising on securities	2010-07-15	2015-09-17
	Rep	Asset management	2010-07-15	2015-09-17
DWS Investments Hong Kong Limited	Rep	Advising on securities	2007-08-27	2010-07-01
	Rep	Dealing in securities	2007-07-30	2010-07-01
SCHRODER INVESTMENT MANAGEMENT (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-06-25
	Rep	Advising on securities	2003-04-01	2003-06-25
	Rep	Asset management	2003-04-01	2003-06-25
	Rep	Dealing in securities	2003-04-01	2007-06-21