Wong, Sui Man 黃瑞文
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 | AllianceBernstein Hong Kong Limited | Rep | Advising on securities | 2012-04-23 | 2019-04-28 | Rep | Asset management | 2012-04-23 | 2019-04-28 | Rep | Dealing in securities | 2012-04-23 | 2019-04-28 |
| 2 | BNY Mellon Investment Management Hong Kong Limited | Rep | Advising on securities | 2008-11-04 | 2012-03-21 | Rep | Dealing in securities | 2008-11-04 | 2012-03-21 | Rep | Asset management | 2008-12-02 | 2012-03-21 |
| 3 | GAM HONG KONG LIMITED | Rep | Advising on securities | 2021-02-03 | 2022-08-18 | Rep | Dealing in securities | 2021-02-03 | 2022-08-18 | RO | Advising on securities | 2022-08-18 | RO | Dealing in securities | 2022-08-18 |
| 4 | Nomura Asset Management Hong Kong Limited | Rep | Advising on securities | 2019-05-15 | 2020-07-31 | Rep | Asset management | 2019-05-15 | 2020-07-31 | Rep | Dealing in securities | 2019-05-15 | 2020-07-31 |
| 5 | PRINCIPAL GLOBAL INVESTORS (ASIA) LIMITED | Rep | Advising on securities | 2008-07-28 | 2008-08-05 | Rep | Dealing in securities | 2008-07-28 | 2008-08-05 |
| 6 | WM (HK) Limited | Rep | Advising on securities | 2005-08-23 | 2006-03-01 |
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