Personnel SFC Licences and HKMA Registrations (ID 106366)

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
ALBOURNE PARTNERS (ASIA) LIMITED	RO	Advising on securities	2021-12-02	-
	Rep	Advising on securities	2014-02-17	2021-12-02
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-08-12
	Rep	Advising on securities	2003-04-01	2003-08-12
	Rep	Asset management	2003-04-01	2003-08-12
	Rep	Providing automated trading services	2003-04-01	2003-08-12
	Rep	Dealing in securities	2003-04-01	2004-02-27

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.