Legg Mason Asset Management Hong Kong Limited
美盛資產管理香港有限公司
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Legg Mason Asset Management Hong Kong Limited (美盛資產管理香港有限公司), a Hong Kong-based licensed corporation with CE reference ACT053. Current licensed staff on file: 0 (total recorded over time: 159). Earliest licence on file: 2005-10-31.
Licence history
| Activity | From | To |
|---|---|---|
| Type 1 — Dealing in securities | 2005-10-31 | 2022-06-30 |
| Type 4 — Advising on securities | present | 2022-06-30 |
| Type 5 — Advising on futures contracts | present | 2006-09-25 |
| Type 6 — Advising on corporate finance | present | 2004-10-19 |
| Type 9 — Asset management | present | 2015-08-28 |
Licensed staff (all-time) (159)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| Chun Man (SFC:AGJ907) Chan 陳俊文 | RO 1, 4 Rep 1, 4, 9 | 2006-02 | 2007-03 |
| Isabella Shuet Sum Chan 陳雪心 | RO 1, 4 Rep 1, 4 | 2020-10 | 2022-06 |
| Lai Sze (SFC:ACO201) Chan 陳麗絲 | RO 1, 4, 5, 9 Rep 1, 4, 5, 6, 9 | Pre-2003 | 2014-07 |
| Mei Shan Chan 陳美珊 | RO 9 Rep 1, 4, 5, 9 | 2006-02 | 2014-07 |
| Pui Har Chan 陳佩霞 | RO 1, 4 Rep 1, 4 | 2007-09 | 2020-12 |
| Winnie (SFC:AFD453) Chan 陳韻妮 | RO 9 Rep 1, 4, 9 | 2005-04 | 2014-04 |
| Yew Khee Choon 秦耀奇 | RO 1, 4, 9 Rep 4, 6, 9 | Pre-2003 | 2006-07 |
| Irene Man Ling Chow 周雯玲 | RO 4, 9 Rep 5 | Pre-2003 | 2003-05 |
| Tathagata Guha Roy | RO 4, 5, 9 Rep 4, 9 | 2004-11 | 2005-08 |
| Jason Christopher Davenant Henchman | RO 1, 4, 9 | 2006-01 | 2010-01 |
| Edwina Mei Ling Ho 何美玲 | RO 1, 4 Rep 1, 4, 9 | 2005-01 | 2018-05 |
| Samantha Shuk Yee Ho 何淑懿 | RO 9 Rep 9 | 2013-04 | 2013-11 |
| Hoi Pan Hui 許海濱 | RO 1, 4, 9 Rep 1, 4, 5, 9 | 2006-04 | 2010-06 |
| Chun Sing Lee 李振聲 | RO 1, 4, 9 Rep 1, 4, 9 | 2008-06 | 2011-08 |
| Sai Yin Lee 李世賢 | RO 1, 4, 9 Rep 1, 4, 9 | 2006-08 | 2007-09 |
| Eugene See Charm Leung 梁思湛 | RO 1, 4, 9 Rep 1, 4, 9 | 2004-12 | 2013-05 |
| Lennie Hong Heng Lim | RO 1, 4 Rep 1, 4 | 2007-09 | 2020-03 |
| Sulia Huen Huen Lo 盧暄萱 | RO 4, 9 Rep 5 | Pre-2003 | 2004-04 |
| Carolyn Anne Lu 陸舜華 | RO 1, 4, 5, 9 Rep 4, 5, 6, 9 | Pre-2003 | 2006-05 |
| Anthony Yi Tong Muh 沐義棠 | RO 4, 5, 6, 9 | Pre-2003 | 2005-04 |
| James Shields Newman | RO 4, 5, 9 | Pre-2003 | 2004-01 |
| Freeman Siu For Tsang 曾劭科 | RO 1, 4 Rep 1, 4, 9 | 2004-10 | 2020-10 |
| Tak Tai Wong 黃德泰 | RO 1, 4 Rep 1 | 2020-11 | 2022-06 |
| Ho Yip Alan Young 楊豪業 | RO 1, 4 | 2020-10 | 2022-06 |
| Amanda Patricia Adewale | Rep 1 | 2013-08 | 2019-05 |
| Tariq Ashfaq Ahmad | Rep 1 | 2020-01 | 2020-01 |
| Budi Aditya Akbarsjah | Rep 1, 4 | 2019-12 | 2020-07 |
| Kathleen Murray Anderson | Rep 1 | 2016-02 | 2020-01 |
| Pui Ting Au 歐佩婷 | Rep 1, 4, 9 | 2007-01 | 2010-11 |
| Dilip Phatu Badlani | Rep 4 | 2018-05 | 2018-12 |
| Beatriz Suarez Barnett | Rep 1, 4, 9 | 2005-06 | 2006-05 |
| Joshua Dunham Bateman | Rep 1, 4, 9 | 2012-01 | 2012-09 |
| Robert Mark Bole | Rep 4 | 2007-04 | 2007-05 |
| Regina Ma Cristina Gonzalez Borromeo | Rep 1 | 2015-06 | 2015-06 |
| Michael Carlton Buchanan | Rep 1 | 2013-10 | 2013-10 |
| Tristan Hector Camp | Rep 1 | 2014-05 | 2019-06 |
| Andrew James Chambers | Rep 1 | 2020-06 | 2020-06 |
| Joyce Yin Kar Chan 陳彥嘉 | Rep 4 | 2003-04 | 2003-12 |
| Karen Ka Ning Chan 陳嘉寧 | Rep 1, 4, 5, 9 | 2004-07 | 2011-07 |
| Nga Yan Chan 陳雅茵 | Rep 9 | 2003-06 | 2004-04 |
| Siu Chi Chan 陳少芝 | Rep 4, 6, 9 | Pre-2003 | 2004-05 |
| Prashant Chandran | Rep 1 | 2015-01 | 2019-04 |
| Chia-Hao Chen 陳家豪 | Rep 1, 4 | 2005-12 | 2009-03 |
| Yuk Lan Choi 蔡育蘭 | Rep 1 | 2020-11 | 2021-12 |
| Kwok Chee Chong 莊國幟 | Rep 1, 4 | 2019-04 | 2021-06 |
| Chui Ping Chow 周翠萍 | Rep 1, 4 | 2007-09 | 2009-11 |
| Chun Leung (SFC:APP682) Chow 周振亮 | Rep 1, 4 | 2007-09 | 2014-07 |
| Mitchelle Tze Wei Chow 周紫蕙 | Rep 1, 4 | 2011-07 | 2015-09 |
| Shun Yip Chow 周順業 | Rep 1, 4, 9 | 2011-06 | 2013-01 |
| Elina Elaine Yee Ling Choy 蔡懿翎 | Rep 1, 4 | 2008-07 | 2010-08 |
| Lei Mei Chu 朱莉薇 | Rep 1, 4 | 2017-12 | 2022-06 |
| Victor Wai Tak Chu 褚偉德 | Rep 1, 4, 9 | 2008-08 | 2013-11 |
| Peng Chong Chua | Rep 4 | 2007-09 | 2007-09 |
| Halina Suk Yee Chui 徐淑儀 | Rep 1, 4 | 2013-12 | 2016-11 |
| Paul Alan Danes | Rep 1 | 2019-09 | 2019-09 |
| Benjamin Clifford Day | Rep 4 | 2008-02 | 2008-12 |
| Ajay Ashokkumar Dayal | Rep 1 | 2017-06 | 2017-06 |
| Rajeev Donald de Mello | Rep 4 | 2009-08 | 2011-06 |
| Rui (SFC:BPL900) Ding 丁睿 | Rep 1, 4 | 2020-03 | 2022-06 |
| Ana Wai Man Fan 樊惠文 | Rep 1, 4, 9 | 2006-09 | 2007-07 |
| Charrissa Wing Sze Fan 范穎詩 | Rep 1, 4 | 2010-03 | 2013-06 |
| Theodore Walker Fetter | Rep 1 | 2013-01 | 2013-01 |
| Guido Anthony Filicetti | Rep 1 | 2015-10 | 2017-04 |
| Daniel Edmund FitzGerald | Rep 1 | 2020-06 | 2020-06 |
| John Petsel Folz II | Rep 4 | 2007-04 | 2007-05 |
| Man Yu Fong 方聞宇 | Rep 9 | 2003-07 | 2003-09 |
| Desmond Yunjie Fu 傅雲杰 | Rep 1 | 2018-07 | 2020-09 |
| Si Yu Fung 馮思宇 | Rep 1, 4, 9 | 2008-03 | 2009-09 |
| Yuen Tsun Fung 馮苑蓁 | Rep 1, 4 | 2020-11 | 2022-06 |
| Mary Christine Gay | Rep 4 | 2007-03 | 2010-03 |
| Richard James Gillham | Rep 1 | 2018-11 | 2018-11 |
| Brian Louis Giuliano | Rep 1 | 2021-01 | 2021-01 |
| Yanchao (SFC:BPK410) Guo 郭艳超 | Rep 1, 4 | 2020-03 | 2020-07 |
| Ka Yan Ha 夏嘉欣 | Rep 1, 4 | 2013-11 | 2014-01 |
| Robert George Hagstrom Jr | Rep 4 | 2009-07 | 2009-07 |
| Henry Patrick Hamrock | Rep 1, 4, 9 | 2007-04 | 2019-05 |
| Kevin John Hebner | Rep 4, 9 | 2004-12 | 2005-07 |
| William Anthony Hench | Rep 1, 4 | 2010-11 | 2018-03 |
| Grammie Ting Fung Ho 何霆鋒 | Rep 1, 4 | 2011-08 | 2013-01 |
| Jennifer Ka Suen Ho 何嘉璇 | Rep 1, 4 | 2007-09 | 2012-07 |
| Judy May Wai Ho 何美蕙 | Rep 1, 4, 9 | 2010-01 | 2013-09 |
| Sui Wah Ho 何瑞華 | Rep 1, 4 | 2012-02 | 2013-05 |
| Jiawen Huang 黃賈雯 | Rep 1, 4 | 2016-02 | 2022-06 |
| Li (SFC:BDE796) Huang 黃理 | Rep 1, 4 | 2014-04 | 2019-07 |
| Jacqueline Chi-Ching Hung 孔芷晴 | Rep 1, 4 | 2018-04 | 2020-06 |
| Philip James Hunter | Rep 1, 9 | 2011-05 | 2013-03 |
| Hung Kei Ip 葉鴻基 | Rep 1, 4 | 2013-05 | 2016-03 |
| Kohei Iwahara | Rep 1, 4, 5, 9 | 2006-04 | 2008-12 |
| Terence Andrew Johnson | Rep 4 | 2007-03 | 2008-01 |
| Joshua Alexander Kane | Rep 1 | 2019-03 | 2019-05 |
| Brian Lavelle Kloss | Rep 1 | 2017-09 | 2019-06 |
| Yen-Ling Kuo 郭妍伶 | Rep 1 | 2020-11 | 2022-06 |
| Pik Kwan Lai 黎璧君 | Rep 1, 9 | 2008-02 | 2011-05 |
| Wai Fong Lai 賴慧芳 | Rep 1, 4, 9 | 2006-09 | 2006-10 |
| Josephine Lam 林詠琪 | Rep 1, 4, 9 | 2004-07 | 2013-03 |
| Linda Lam Lam 林霖 | Rep 1, 4, 5, 6, 9 | Pre-2003 | 2006-07 |
| Tsz Lung Lau 劉子龍 | Rep 1, 4, 5, 6, 9 | Pre-2003 | 2005-12 |
| Kit Ching Law 羅潔貞 | Rep 1 | 2020-11 | 2022-06 |
| Richard Lawrence | Rep 1 | 2018-05 | 2019-05 |
| Chiinhao Alex Lee 李君浩 | Rep 4, 9 | 2005-02 | 2009-03 |
Showing 1–100 of 159