Personnel SFC Licences and HKMA Registrations (ID 11712049)

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
DWS Investments Hong Kong Limited	RO	Advising on securities	2020-01-06	-
	RO	Asset management	2020-01-06	-
	RO	Dealing in securities	2020-01-06	-
	Rep	Asset management	2018-06-13	2020-01-06
	Rep	Advising on securities	2017-09-01	2020-01-06
	Rep	Dealing in securities	2017-09-01	2020-01-06
	Rep	Advising on securities	2017-07-03	2017-07-07
	Rep	Dealing in securities	2017-07-03	2017-07-07

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.