Personnel SFC Licences and HKMA Registrations (ID 117268)

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
Ord Minnett Hong Kong Limited	Rep	Advising on securities	2014-04-16	-
	Rep	Dealing in securities	2014-04-16	-
AXA Financial Planning (Hong Kong) Limited	Rep	Dealing in securities	2010-01-21	2011-05-07
	Rep	Advising on securities	2005-10-31	2011-05-07

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.