Personnel SFC Licences and HKMA Registrations (ID 121454)

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
NORTHERN TRUST COMPANY OF HONG KONG LIMITED, THE	RO	Dealing in securities	2020-05-25	-
	Rep	Dealing in securities	2019-02-18	2020-05-25
Robeco Hong Kong Limited	Rep	Dealing in securities	2013-03-01	2018-12-31
BNP PARIBAS ASSET MANAGEMENT APAC LIMITED	Rep	Advising on securities	2008-05-08	2010-12-17
	Rep	Asset management	2008-05-08	2010-12-17
	Rep	Dealing in securities	2008-01-17	2010-12-17
MF Global Hong Kong Limited	Rep	Dealing in securities	2007-05-16	2007-09-30

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.