Personnel SFC Licences and HKMA Registrations (ID 104368)

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
Foundation Asset Management (HK) Limited	RO	Advising on securities	2018-05-30	-
	RO	Asset management	2007-03-22	-
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-03-02
	Rep	Advising on securities	2003-04-01	2004-03-02
	Rep	Dealing in securities	2003-04-01	2006-12-01
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2003-04-01	2006-12-01

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.