Personnel SFC Licences and HKMA Registrations (ID 118829)

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
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Advising on securities	2015-02-13	-
	Rep	Dealing in securities	2015-02-13	-
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2015-02-13	-
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in securities	2012-04-23	2013-02-22
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2006-06-22	2007-05-19

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.