Personnel SFC Licences and HKMA Registrations (ID 104257)

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
Morgan Stanley Asia Limited	Rep	Dealing in securities	2016-02-29	-
Morgan Stanley Hong Kong Securities Limited	Rep	Providing automated trading services	2016-02-29	-
	Rep	Dealing in futures contracts	2016-02-29	-
	Rep	Dealing in securities	2016-02-29	-
Phoenician Limited (HK)	RO	Advising on securities	2015-09-21	2016-02-12
	RO	Asset management	2014-04-15	2016-02-12
China Reserve Securities Limited	Rep	Dealing in securities	2009-10-16	2011-06-20
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2007-12-20	2008-11-19
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in futures contracts	2007-10-25	2007-11-17
	Rep	Dealing in securities	2007-08-20	2007-11-17
DAIWA SECURITIES SMBC FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2007-08-20	2007-11-17
Funderstone Futures Limited	Rep	Dealing in futures contracts	2004-07-05	2005-05-25
Funderstone Securities Limited	Rep	Dealing in securities	2004-07-05	2005-05-25

HKMA registrations

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

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