Personnel Hong Kong SFC License Details (ID 85723)

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没有开始日期的人士至少自现行登记册于2003年4月1日启用时起已担任该职位。

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机构	角色	受规管活动	开始日期	结束日期
BOCOM Schroder Asset Management (Hong Kong) Company Limited	Rep	就证券提供意见	2014-09-01	2016-08-01
	Rep	提供资产管理	2014-09-01	2016-08-01
	Rep	证券交易	2014-09-01	2016-08-01
Legg Mason Asset Management Hong Kong Limited	RO	提供资产管理	2013-09-17	2014-07-31
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	RO	就证券提供意见	2013-09-17	2014-07-31
	RO	提供资产管理	2013-09-17	2014-07-31
	RO	证券交易	2013-09-17	2014-07-31
Legg Mason Asset Management Hong Kong Limited	RO	就证券提供意见	2006-04-06	2013-03-31
	RO	证券交易	2006-04-06	2013-03-31
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	RO	就证券提供意见	2006-04-06	2013-03-31
	RO	证券交易	2006-04-06	2013-03-31
Legg Mason Asset Management Hong Kong Limited	Rep	证券交易	2005-12-02	2006-04-06
	RO	就期货合约提供意见	2005-07-28	2006-05-26
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	RO	就期货合约提供意见	2005-07-28	2006-05-26
Legg Mason Asset Management Hong Kong Limited	RO	提供资产管理	2004-12-15	2013-03-31
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	RO	提供资产管理	2004-12-15	2013-03-31
Legg Mason Asset Management Hong Kong Limited	Rep	就机构融资提供意见	-	2004-10-29
	Rep	提供资产管理	-	2004-12-15
	Rep	就期货合约提供意见	-	2005-07-28
	Rep	就证券提供意见	-	2006-04-06
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	Rep	就机构融资提供意见	-	2004-10-29
	Rep	提供资产管理	-	2004-12-15
	Rep	就期货合约提供意见	-	2005-07-28
	Rep	就证券提供意见	-	2006-04-06
	Rep	证券交易	-	2006-04-06

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