Personnel SFC Licences and HKMA Registrations (ID 116330)

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
Canaccord Genuity (Hong Kong) Limited	RO	Advising on securities	2019-06-21	-
	RO	Dealing in securities	2019-06-21	-
	Rep	Advising on securities	2019-06-13	2019-06-21
	Rep	Dealing in securities	2019-06-13	2019-06-21
PACIFIC GROUP LIMITED, THE	Rep	Asset management	2015-10-22	2016-03-17
Renaissance Capital (Hong Kong) Limited	Rep	Dealing in securities	2010-09-02	2011-10-28
Knight Capital Asia Limited	Rep	Dealing in securities	2009-04-09	2010-06-03
Morgan Stanley Asia Limited	Rep	Advising on futures contracts	2007-08-15	2008-11-20
	Rep	Providing automated trading services	2007-08-15	2008-11-20
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2007-08-15	2008-11-20
	Rep	Dealing in futures contracts	2007-08-15	2008-11-20
Morgan Stanley Asia Limited	Rep	Dealing in securities	2007-06-04	2008-11-20
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in securities	2007-06-04	2008-11-20
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2005-07-07	2007-04-18
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2005-07-07	2007-04-18

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.