Personnel Hong Kong SFC License Details (ID 99530)

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
Amundi Hong Kong Limited	Rep	Advising on securities	2025-05-19	-
	Rep	Asset management	2025-05-19	-
	Rep	Dealing in securities	2025-05-19	-
Vanguard Investments Hong Kong Limited	RO	Advising on corporate finance	2016-11-22	2019-07-12
	RO	Advising on securities	2016-01-04	2022-06-29
	RO	Dealing in securities	2016-01-04	2022-06-29
	RO	Asset management	2015-09-24	2022-06-29
	Rep	Asset management	2015-07-09	2015-09-24
	Rep	Advising on securities	2015-07-09	2016-01-04
	Rep	Dealing in securities	2015-07-09	2016-01-04
UBS Asset Management (Hong Kong) Limited	Rep	Advising on securities	2013-09-03	2015-06-24
	Rep	Asset management	2013-09-03	2015-06-24
	Rep	Dealing in securities	2013-09-03	2015-06-24
Funderstone Futures Limited	RO	Asset management	2013-03-05	2013-08-14
Funderstone Securities Limited	RO	Advising on securities	2013-03-05	2013-08-14
	RO	Asset management	2013-03-05	2013-08-14
Cynosure Asset Management Hong Kong Limited	RO	Advising on corporate finance	2010-07-09	2013-08-14
	RO	Advising on securities	2010-07-09	2013-08-14
	RO	Asset management	2010-07-09	2013-08-14
	RO	Dealing in securities	2010-07-09	2013-08-14
	Rep	Advising on corporate finance	2010-04-26	2010-07-09
	Rep	Advising on securities	2010-04-26	2010-07-09
	Rep	Asset management	2010-04-26	2010-07-09
	Rep	Dealing in securities	2010-04-26	2010-07-09
STATE STREET GLOBAL ADVISORS ASIA LIMITED	Rep	Advising on corporate finance	2007-07-24	2010-04-12
	RO	Dealing in securities	2007-07-24	2010-04-12
STATE STREET GLOBAL ADVISORS SINGAPORE LIMITED	Rep	Advising on corporate finance	2007-07-24	2010-04-12
STATE STREET GLOBAL ADVISORS ASIA LIMITED	Rep	Dealing in securities	2006-09-04	2007-07-24
	RO	Advising on futures contracts	2006-02-07	2010-04-12
	RO	Advising on securities	2006-02-07	2010-04-12
	RO	Asset management	2006-02-07	2010-04-12
STATE STREET GLOBAL ADVISORS SINGAPORE LIMITED	RO	Advising on securities	2006-02-07	2010-04-12
	RO	Asset management	2006-02-07	2010-04-12
	Rep	Advising on securities	2005-07-05	2006-02-07
	Rep	Asset management	2005-07-05	2006-02-07
STATE STREET GLOBAL ADVISORS ASIA LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-10-26
	Rep	Advising on futures contracts	2003-04-01	2006-02-07
	Rep	Advising on securities	2003-04-01	2006-02-07
	Rep	Asset management	2003-04-01	2006-02-07