Nuveen Hong Kong Limited

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Activity type: AllAdvising on corporate financeAdvising on futures contractsAdvising on securitiesAsset managementAutomated trading servicesClient clearing services for OTC derivative transactionsCredit rating servicesDealing in futures contractsDealing in or advising on OTC derivative productsDealing in securitiesDepositary services for relevant CISsLeveraged foreign exchange tradingSecurities margin financing

SFC licensees

RO=Responsible Officer, Rep=Representative

	Name	Age in 2018	⚥	SFC ID	Role	From	Until
1	Cheung, Ka Chun (SFC:BBK722) 張嘉俊			BBK722	RO	2017-06-21
2	England-Brammer, Simon James		M	AXZ247	RO	2017-06-21	2023-10-26
3	Kavanagh, Louise Margaret		F	APJ851	Rep	2017-11-27	2019-04-16
4	Ma, Jason Kit Sang 馬傑笙		M	BAZ553	Rep	2018-08-31	2021-10-31
5	Wong, Wai Chung (SFC:AUM604) 王瑋中			AUM604	Rep	2018-09-26	2022-06-01

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