Nuveen Hong Kong Limited is a Hong Kong SFC licensed corporation (CE number BJH146). First licensed on 2017-06-21. Its SFC licence is currently active. It is licensed for 3 regulated activities: Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management).
| Type | English | Chinese | Effective |
|---|---|---|---|
| RA 1 | Dealing in Securities | 證券交易 | 2017-06-21 |
| RA 4 | Advising on Securities | 就證券提供意見 | 2017-06-21 |
| RA 9 | Asset Management | 提供資產管理 | 2019-04-16 |
| CE No. | Name | Chinese |
|---|---|---|
| APJ851 | KAVANAGH Louise Margaret | |
| AUM604 | WONG Wai Chung | 王瑋中 |
| AYO821 | LAU Chris Cheuk Wah | 劉卓樺 |
| BNV380 | GHUMAN Jagdeep Singh | |
| BPU322 | CHANG Jae Ho | |
| BQS804 | ZHOU Jing | 周靜 |
| CE No. | Name | Chinese |
|---|---|---|
| ALQ164 | LAM Wing Shuen | 林泳鏇 |
| AOQ811 | LAM Wan Yeung, Carol | 林韻洋 |
| APJ851 | KAVANAGH Louise Margaret | |
| APK366 | CHANG Linlin | 張玲菱 |
| ATH921 | CHAN David Hantang | 陳漢唐 |
| AYJ714 | KWOK Man Sin | 郭文倩 |
| BEV745 | LEE-TONG Chi Wai, Georgette | 唐李之慧 |
| BGV484 | WANG Xiao | 王笑 |
| BOR645 | KOO Bon Soo | |
| BSG374 | CHOW Tsz Yan | 周芷恩 |
| BSI353 | CHUNG KAI MAN | 鍾啟文 |
| BTB128 | CAMERON Mark William | 甘穆仁 |
| BTY067 | TANG Lok Yi | 鄧樂宜 |
| BWI357 | CHU Kwan Pik Charlotte | 朱君璧 |