HUI Hoi Pan

許海濱

CE AIQ973Licensed IndividualResponsible OfficerSFO licence active

HUI Hoi Pan (CE number AIQ973) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-28. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities

RA 4 Advising on Securities

RA 5 Advising on Futures Contracts

RA 9 Asset Management

Roles & Accreditations (2)

Capacity	Company / Institution
Responsible Officer	State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司
Responsible Officer	State Street Global Advisors Singapore Limited

Licence Record (10)

2017-09-08 – present Current

State Street Global Advisors Asia Limited RO

RA 4 RA 5 RA 9

2017-09-08 – present Current

State Street Global Advisors Singapore Limited RO

RA 4 RA 9

2014-10-23 – 2015-01-02

HSBC Investment Funds (Hong Kong) Limited Rep

RA 1

2010-07-19 – 2015-01-02

HSBC Global Asset Management (Hong Kong) Limited Rep

RA 1 RA 4 RA 5 RA 9

2010-07-19 – 2011-08-31

SINOPIA Asset Management (Asia Pacific) Limited Rep

RA 1 RA 4 RA 5 RA 9

2010-04-13 – 2010-06-26

Legg Mason Asset Management Hong Kong Limited RO

RA 1 RA 4 RA 9

2006-04-29 – 2010-04-13

Legg Mason Asset Management Hong Kong Limited Rep

RA 1 RA 4 RA 5 RA 9

2006-04-29 – 2008-09-01

Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) Rep

RA 1 RA 4 RA 5 RA 9

2005-07-05 – 2006-04-18

State Street Global Advisors Singapore Limited Rep

RA 4 RA 9

2003-04-28 – 2017-09-08

State Street Global Advisors Asia Limited Rep

RA 4 RA 5 RA 9

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AIQ973