Personnel SFC Licences and HKMA Registrations (ID 126183)

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
ORFI CAPITAL LIMITED	RO	Advising on securities	2013-07-31	-
	RO	Asset management	2013-07-31	-
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2011-02-16	2011-03-18
	Rep	Dealing in securities	2011-02-16	2011-03-18
Nomura Asia Investment (Hong Kong) Limited	Rep	Dealing in futures contracts	2008-07-23	2008-10-23
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-07-23	2008-10-23
	Rep	Dealing in securities	2008-07-23	2008-10-23

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.