Personnel Hong Kong SFC License Details (ID 98909)

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
AY Asset Management (HK) Limited	RO	Advising on securities	2022-09-27	-
	RO	Asset management	2022-09-27	-
PING AN OF CHINA ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED	RO	Dealing in securities	2018-06-28	2020-08-21
	RO	Advising on securities	2018-06-05	2020-08-21
	RO	Asset management	2018-06-05	2020-08-21
	Rep	Advising on securities	2017-05-23	2018-06-05
	Rep	Asset management	2017-05-23	2018-06-05
Anbang Asset Management (Hong Kong) Co. Limited	RO	Advising on securities	2014-11-18	2017-03-10
	RO	Asset management	2014-11-18	2017-03-10
	RO	Dealing in securities	2014-11-18	2017-03-10
	Rep	Advising on securities	2014-10-06	2014-11-18
	Rep	Asset management	2014-10-06	2014-11-18
	Rep	Dealing in securities	2014-10-06	2014-11-18
CIFM Asset Management (Hong Kong) Limited	RO	Dealing in securities	2014-06-04	2014-07-15
	RO	Advising on securities	2013-04-12	2014-07-15
	RO	Asset management	2013-04-12	2014-07-15
	Rep	Advising on securities	2013-03-18	2013-04-12
	Rep	Asset management	2013-03-18	2013-04-12
DAIWA ASSET MANAGEMENT (H.K.) LIMITED	RO	Advising on securities	2007-10-30	2013-02-14
	RO	Asset management	2007-10-30	2013-02-14
	Rep	Advising on futures contracts	2004-08-06	2007-06-10
	Rep	Asset management	2004-08-06	2007-10-30
	Rep	Advising on securities	2004-07-07	2007-10-30
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-05-21
	Rep	Asset management	2003-04-01	2004-05-21
	Rep	Advising on securities	2003-04-01	2004-05-24
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-05-21
	Rep	Advising on securities	2003-04-01	2004-05-21
	Rep	Asset management	2003-04-01	2004-05-21