Vivian R Peng
彭曉如
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Vivian R Peng (彭曉如), CE reference AUF131. Currently licensed at 1 firm(s): JPMorgan Asset Management (Asia Pacific) Limited. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| JPMorgan Asset Management (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2016-09-01 | present |
| JPMorgan Asset Management (Asia Pacific) Limited | Rep | Type 2 — Dealing in futures contracts | 2016-09-01 | present |
| JPMorgan Asset Management (Asia Pacific) Limited | Rep | Type 9 — Asset management | 2016-09-01 | present |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2014-10-23 | 2016-08-26 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2014-10-23 | 2016-08-26 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2013-08-05 | 2016-08-26 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2013-08-05 | 2016-08-26 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | 2013-08-05 | 2016-08-26 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-11-27 | 2013-04-26 |