Personnel SFC Licences and HKMA Registrations (ID 102029)

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
ICBC INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2026-10-09	-
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Advising on securities	2026-10-09	-
	Rep	Dealing in securities	2026-10-09	-
AUSTRAX ASSET MANAGEMENT LIMITED	RO	Asset management	2017-04-13	2026-08-21
Funde Investment Management Limited	RO	Asset management	2007-06-14	2017-03-21
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2004-10-11	2007-03-01
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2003-04-01	2004-09-21
	Rep	Advising on securities	2003-04-01	2004-09-21
	Rep	Asset management	2003-04-01	2004-09-21
	Rep	Providing automated trading services	2003-04-01	2004-09-21
	Rep	Dealing in securities	2003-04-01	2004-09-21

HKMA registrations

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

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