Personnel SFC Licences and HKMA Registrations (ID 105410)

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
LGT INVESTMENT MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2021-03-15	-
	Rep	Dealing in securities	2021-03-15	-
Qiao Group Limited	RO	Advising on securities	2011-02-15	2011-08-15
	RO	Asset management	2011-02-15	2011-08-15
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2010-08-20	2010-11-19
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-02-25	2010-08-20
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2007-06-01	2010-11-19

HKMA registrations

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

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