Personnel SFC Licences and HKMA Registrations (ID 123469)

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
Neuberger Berman Asia Limited	Rep	Advising on securities	2015-03-26	-
	Rep	Dealing in securities	2015-03-26	-
BLACKROCK (HONG KONG) LIMITED	Rep	Advising on securities	2007-11-08	2009-03-09
	Rep	Dealing in securities	2007-11-08	2009-03-17

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.