Personnel SFC Licences and HKMA Registrations (ID 100859)

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
DL BROKERAGE LIMITED	RO	Advising on corporate finance	2003-08-07	2003-10-30
	RO	Asset management	2003-08-07	2003-10-30
	RO	Advising on securities	2003-08-07	2020-02-29
	RO	Dealing in securities	2003-08-07	2020-02-29
Lee Tat & Company	RO	Advising on corporate finance	-	2003-08-07
	RO	Advising on securities	-	2003-08-07
	RO	Asset management	-	2003-08-07
	RO	Dealing in securities	-	2003-08-07

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.