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), a licensed former licensee with CE reference AUF131. This person has 16.2 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| JPMorgan Asset Management (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2016-09-01 | 2026-06-10 |
| JPMorgan Asset Management (Asia Pacific) Limited | Rep | Type 2 - Dealing in futures contracts | 2016-09-01 | 2026-06-10 |
| JPMorgan Asset Management (Asia Pacific) Limited | Rep | Type 9 - Asset management | 2016-09-01 | 2026-06-10 |
| 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 |