Personnel SFC Licences and HKMA Registrations (ID 116119)

Key Data Licences & registrations Public Disciplinary Actions

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
MILLENNIUM CAPITAL MANAGEMENT (HONG KONG) LIMITED	RO	Asset management	2025-05-22	-
	RO	Dealing in futures contracts	2023-02-23	-
	RO	Dealing in securities	2023-02-23	-
	Rep	Dealing in futures contracts	2022-12-15	2023-02-23
	Rep	Dealing in securities	2022-12-15	2023-02-23
	Rep	Asset management	2022-12-15	2025-05-22
Credit Suisse (Hong Kong) Limited	RO	Advising on securities	2017-08-17	2022-09-09
	RO	Dealing in futures contracts	2017-08-17	2022-09-09
	RO	Dealing in securities	2017-08-17	2022-09-09
Credit Suisse Securities (Hong Kong) Limited	RO	Providing automated trading services	2017-08-17	2022-09-09
	RO	Dealing in securities	2017-08-17	2022-09-09
Credit Suisse (Hong Kong) Limited	Rep	Advising on securities	2017-07-07	2017-08-17
	Rep	Dealing in futures contracts	2017-07-07	2017-08-17
	Rep	Dealing in securities	2017-07-07	2017-08-17
Credit Suisse Securities (Hong Kong) Limited	Rep	Providing automated trading services	2017-07-07	2017-08-17
	Rep	Dealing in securities	2017-07-07	2017-08-17
DEUTSCHE SECURITIES ASIA LIMITED	RO	Providing automated trading services	2013-12-27	2017-04-23
	RO	Dealing in futures contracts	2013-12-27	2017-04-23
	RO	Dealing in securities	2013-12-27	2017-04-23
	Rep	Dealing in futures contracts	2013-06-10	2013-12-27
	Rep	Dealing in securities	2013-06-10	2013-12-27
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in securities	2005-07-06	2007-08-02
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2005-06-14	2007-08-02
	Rep	Dealing in securities	2005-06-14	2007-08-02
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2005-06-14	2007-08-02
	Rep	Dealing in futures contracts	2005-06-14	2007-08-02

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.