Personnel SFC Licences and HKMA Registrations (ID 127111)

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
AP Capital Limited	RO	Dealing in securities	2023-08-22	-
	RO	Advising on securities	2022-10-12	-
	RO	Asset management	2022-10-12	-
	Rep	Advising on securities	2022-06-10	2022-10-12
	Rep	Asset management	2022-06-10	2022-10-12
Quam Securities Limited	Rep	Dealing in securities	2010-02-10	2010-04-30
	Rep	Advising on securities	2010-01-13	2010-04-30
	Rep	Asset management	2010-01-13	2010-04-30
WORL-D ASSET MANAGEMENT (HONG KONG) LIMITED	Rep	Asset management	2009-04-23	2009-11-23
	Rep	Advising on securities	2009-01-19	2009-11-23
KARL THOMSON INVESTMENT CONSULTANTS LIMITED	Rep	Advising on securities	2008-11-14	2008-12-08

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.