Personnel SFC Licences and HKMA Registrations (ID 107457)

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
Citigroup Global Markets Asia Limited	Rep	Dealing in futures contracts	2025-06-03	-
	Rep	Dealing in securities	2025-06-03	-
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2014-09-17	2022-07-07
	Rep	Dealing in securities	2014-09-17	2022-07-07
Jefferies Hong Kong Limited	Rep	Dealing in securities	2012-01-11	2014-06-09
TRISKELE CAPITAL MANAGEMENT LIMITED	Rep	Advising on securities	2009-06-10	2011-12-31
	Rep	Asset management	2009-06-10	2011-12-31
FORE ASIA, LIMITED	RO	Advising on securities	2006-06-01	2007-10-20
	RO	Asset management	2006-06-01	2007-10-20
	Rep	Advising on securities	2005-12-23	2006-06-01
	Rep	Asset management	2005-12-23	2006-06-01
WHARTON INVESTMENT ADVISORS LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-03-19
	Rep	Dealing in securities	2003-04-01	2004-03-19
	Rep	Advising on futures contracts	2003-04-01	2005-10-19
	Rep	Advising on securities	2003-04-01	2005-10-19
	Rep	Asset management	2003-04-01	2005-10-19

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.