Personnel SFC Licences and HKMA Registrations (ID 11778149)

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
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2026-02-06	-
	Rep	Asset management	2026-02-06	-
	Rep	Advising on futures contracts	2021-12-03	2022-09-01
	Rep	Advising on securities	2021-12-03	2022-09-01
	Rep	Asset management	2021-12-03	2022-09-01
HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED	Rep	Advising on futures contracts	2020-04-01	2026-01-05
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2020-04-01	2020-12-09
HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED	Rep	Advising on securities	2020-03-25	2026-01-05
	Rep	Asset management	2020-03-25	2026-01-05
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2020-03-25	2020-12-09
	Rep	Asset management	2020-03-25	2020-12-09
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	Rep	Advising on securities	2020-03-25	2026-01-05
	Rep	Asset management	2020-03-25	2026-01-05
	Rep	Dealing in securities	2020-03-25	2026-01-05
UBS SDIC Asset Management (Hong Kong) Company Limited	Rep	Advising on securities	2017-07-17	2020-02-28
	Rep	Asset management	2017-07-17	2020-02-28
	Rep	Dealing in securities	2017-07-17	2020-02-28

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.