Personnel SFC Licences and HKMA Registrations (ID 12439135)

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
LCA Solutions Limited	Rep	Advising on securities	2021-11-01	-
	Rep	Asset management	2021-11-01	-
	Rep	Dealing in securities	2021-11-01	-
Saxo Capital Markets HK Limited	Rep	Dealing in futures contracts	2020-03-04	2021-03-18
	Rep	Dealing in securities	2020-03-04	2021-03-18
	Rep	Leveraged foreign exchange trading	2020-03-04	2021-03-18
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2018-01-22	2020-01-31
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2017-10-30	2020-01-31
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2017-10-30	2020-01-31
	Rep	Dealing in securities	2017-10-30	2020-01-31

HKMA registrations

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

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