Personnel SFC Licences and HKMA Registrations (ID 104135)

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
ROCIM Limited	RO	Advising on securities	2025-03-06	-
	RO	Asset management	2025-03-06	-
	Rep	Advising on securities	2023-01-16	2025-03-06
	Rep	Asset management	2023-01-16	2025-03-06
	Rep	Asset management	2020-04-28	2020-12-07
MF Securities Hong Kong Limited	RO	Advising on securities	2008-11-28	2009-09-15
	Rep	Advising on securities	2008-07-02	2008-11-28
BEAR STEARNS ASIA LIMITED	Rep	Advising on securities	2007-05-14	2008-05-30
HSBC SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2005-05-23	2005-11-12
T & F RESEARCH LIMITED	Rep	Advising on securities	2004-04-29	2005-05-05
MACQUARIE CAPITAL LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-08-06
	Rep	Advising on securities	2003-04-01	2003-08-06
	Rep	Asset management	2003-04-01	2003-08-06
	Rep	Dealing in securities	2003-04-01	2003-08-06

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.