Hau, Winnie Wai Yin 侯慧賢

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SFC licenses

Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.

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Organisation Role Activity From Until
1 HSBC Global Asset Management (Hong Kong) Limited Rep Advising on corporate finance 2004-05-06
2 HSBC Global Asset Management (Hong Kong) Limited Rep Advising on securities 2006-01-18
3 HSBC Global Asset Management (Hong Kong) Limited Rep Asset management 2006-01-18
4 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED Rep Dealing in securities 2004-08-10 2006-01-18
5 HSBC Global Asset Management (Hong Kong) Limited Rep Advising on futures contracts 2006-01-18 2011-07-29
6 HSBC Global Asset Management (Hong Kong) Limited RO Advising on securities 2006-01-18 2011-07-29
7 HSBC Global Asset Management (Hong Kong) Limited RO Asset management 2006-01-18 2011-07-29
8 HSBC Global Asset Management Holdings (Bahamas) Limited Rep Advising on futures contracts 2006-01-18 2011-07-29
9 HSBC Global Asset Management Holdings (Bahamas) Limited RO Advising on securities 2006-01-18 2011-07-29
10 HSBC Global Asset Management Holdings (Bahamas) Limited RO Asset management 2006-01-18 2011-07-29
11 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED RO Advising on corporate finance 2006-01-18 2011-07-29
12 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED Rep Advising on futures contracts 2006-01-18 2011-07-29
13 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED RO Advising on securities 2006-01-18 2011-07-29
14 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED RO Asset management 2006-01-18 2011-07-29
15 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED RO Dealing in securities 2006-01-18 2011-07-29
16 HSBC Global Asset Management (Hong Kong) Limited Rep Dealing in securities 2007-04-10 2011-07-29

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