Personnel Hong Kong SFC License Details (ID 98912)

Personnel Hong Kong SFC License Details (ID 98912)

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
AESOP ASSET MANAGEMENT LIMITED	RO	Advising on securities	2023-02-24	-
	RO	Asset management	2023-02-24	-
	Rep	Advising on securities	2023-02-03	2023-02-24
	Rep	Asset management	2023-02-03	2023-02-24
DAIWA ASSET MANAGEMENT (H.K.) LIMITED	RO	Advising on securities	2021-08-19	2022-11-30
	Rep	Asset management	2010-05-11	2021-06-09
	Rep	Advising on securities	2010-05-06	2021-08-19
CCB INTERNATIONAL SECURITIES LIMITED	Rep	Advising on securities	2009-10-08	2010-04-16
	RO	Advising on securities	2006-05-09	2009-10-08
	Rep	Advising on securities	2005-10-12	2006-05-09
CCB INTERNATIONAL CAPITAL LIMITED	Rep	Dealing in securities	2005-08-26	2005-10-25
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-06-28
	Rep	Asset management	2003-04-01	2004-06-28
	Rep	Advising on securities	2003-04-01	2005-07-22