Personnel SFC Licences and HKMA Registrations (ID 120008)

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 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	2017-09-27	-
	Rep	Advising on securities	2017-09-27	-
	Rep	Asset management	2017-09-27	-
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2017-09-27	2020-12-09
	Rep	Advising on securities	2017-09-27	2020-12-09
	Rep	Asset management	2017-09-27	2020-12-09
HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED	Rep	Advising on securities	2017-09-27	-
	Rep	Asset management	2017-09-27	-
	Rep	Dealing in securities	2017-09-27	-
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2006-11-03	2006-11-23

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

HKMA records could not be loaded. Please try again later.