Personnel SFC Licences and HKMA Registrations (ID 108497)

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
HSBC Global Asset Management (Hong Kong) Limited	RO	Advising on futures contracts	2021-05-06	-
	RO	Advising on securities	2021-05-06	-
	RO	Asset management	2021-05-06	-
	RO	Dealing in futures contracts	2021-05-06	-
	RO	Dealing in securities	2021-05-06	-
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	RO	Advising on futures contracts	2021-05-06	-
	RO	Advising on securities	2021-05-06	-
	RO	Asset management	2021-05-06	-
	RO	Dealing in securities	2021-05-06	-
Halbis Capital Management (Hong Kong) Limited	Rep	Advising on securities	2011-10-27	2011-12-31
	Rep	Asset management	2011-10-27	2011-12-31
	Rep	Dealing in securities	2011-10-27	2011-12-31
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on securities	2011-10-27	2021-05-06
	Rep	Asset management	2011-10-27	2021-05-06
	Rep	Dealing in securities	2011-10-27	2021-05-06
Moody's Investors Service Hong Kong Limited	Rep	Providing credit rating services	2011-06-01	2011-09-26

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.