Personnel SFC Licences and HKMA Registrations (ID 115289)

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
Calibration Partners (Hong Kong) Limited	Rep	Advising on corporate finance	2020-12-09	-
	Rep	Advising on securities	2020-11-13	-
Alpha Win Capital Limited	Rep	Advising on securities	2020-04-24	2020-09-30
	Rep	Dealing in securities	2020-04-24	2020-09-30
BOCOM International (Asia) Limited	RO	Dealing in securities	2015-09-22	2019-12-23
BOCOM International Securities Limited	RO	Advising on securities	2015-09-22	2019-12-23
	RO	Dealing in securities	2015-09-22	2019-12-23
BOCOM International (Asia) Limited	Rep	Dealing in securities	2015-05-20	2015-09-22
	Rep	Advising on corporate finance	2015-05-20	2019-12-23
BOCOM International Securities Limited	Rep	Advising on securities	2015-05-20	2015-09-22
	Rep	Dealing in securities	2015-05-20	2015-09-22
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2005-01-31	2011-01-12
	Rep	Dealing in securities	2005-01-31	2011-01-12

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.