Personnel SFC Licences and HKMA Registrations (ID 112986)

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 Corporate Finance (Hong Kong) Limited	Rep	Advising on corporate finance	2012-07-26	-
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2005-07-15	2006-07-13
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2004-07-28	2006-07-13
SINOPAC ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2004-02-18	2004-06-16
	Rep	Asset management	2004-02-18	2004-06-16
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2003-11-04	2004-01-08

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.