Personnel SFC Licences and HKMA Registrations (ID 104691)

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
Carret Private Capital Limited	Rep	Asset management	2020-12-11	-
	Rep	Advising on securities	2020-10-09	-
	Rep	Dealing in securities	2020-10-09	-
CIS SECURITIES ASSET MANAGEMENT LIMITED	Rep	Asset management	2017-03-03	2017-04-30
IAM LEGACY LIMITED	Rep	Advising on securities	2013-09-19	2014-05-02
JS SECURITIES LIMITED (HK)	Rep	Dealing in securities	2013-06-07	2013-09-02
GF Securities (Hong Kong) Brokerage Limited	Rep	Dealing in securities	2012-01-09	2013-03-11
CROSBY WEALTH MANAGEMENT (HONG KONG) LIMITED	Rep	Advising on securities	2005-05-05	2007-02-05
	Rep	Asset management	2005-05-05	2007-02-05

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.