Personnel SFC Licences and HKMA Registrations (ID 115162)

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
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on corporate finance	2012-01-13	-
	Rep	Advising on securities	2012-01-13	-
	Rep	Dealing in securities	2012-01-13	-
Credit Suisse (Hong Kong) Limited	Rep	Dealing in securities	2008-01-22	2010-05-19
	Rep	Advising on corporate finance	2007-12-20	2010-05-19
	Rep	Advising on securities	2007-12-20	2010-05-19
ROTHSCHILD &AMP; CO HONG KONG LIMITED	Rep	Advising on corporate finance	2005-04-27	2007-11-09
	Rep	Advising on securities	2005-04-27	2007-11-09

HKMA registrations

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

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