Personnel SFC Licences and HKMA Registrations (ID 11800010)

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
ALPS CAPITAL MANAGEMENT LIMITED	RO	Advising on securities	2020-10-09	-
	RO	Asset management	2020-10-09	-
	RO	Dealing in securities	2020-10-09	-
	Rep	Advising on securities	2017-09-08	2020-10-09
	Rep	Asset management	2017-09-08	2020-10-09
	Rep	Dealing in securities	2017-09-08	2020-10-09

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.