Personnel Hong Kong SFC License Details (ID 98911)

Personnel Hong Kong SFC License Details (ID 98911)

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
Sun Life Asset Management (HK) Limited	RO	Asset management	2024-05-06	2024-10-23
	Rep	Asset management	2024-03-06	2024-05-06
	Rep	Advising on securities	2024-03-06	2024-10-23
QUAM ASSET MANAGEMENT LIMITED	RO	Advising on securities	2019-04-15	2024-01-22
	RO	Asset management	2019-04-15	2024-01-22
	Rep	Advising on securities	2018-09-10	2019-04-15
	Rep	Asset management	2018-09-10	2019-04-15
DAIWA ASSET MANAGEMENT (H.K.) LIMITED	Rep	Advising on securities	2010-08-27	2017-12-18
	Rep	Asset management	2010-08-27	2017-12-18
AD Capital Management (Hong Kong) Limited	Rep	Advising on securities	2006-12-27	2007-03-23
UBS SECURITIES ASIA LIMITED	Rep	Advising on securities	2006-07-17	2006-09-21
Morgan Stanley Asia Limited	Rep	Dealing in securities	2005-04-08	2006-06-28
	Rep	Advising on securities	2005-03-29	2006-06-28
MACQUARIE CAPITAL LIMITED	Rep	Advising on securities	2004-06-11	2004-11-04
CASH RESEARCH LIMITED	Rep	Advising on securities	2004-02-20	2004-05-25