Personnel SFC Licences and HKMA Registrations (ID 12801884)

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
SBI China Capital Asset Management Limited	RO	Advising on securities	2021-08-18	-
	RO	Asset management	2021-08-18	-
	Rep	Advising on securities	2021-03-29	2021-08-18
	Rep	Asset management	2021-03-29	2021-08-18
SBI China Capital Financial Services Limited	Rep	Dealing in securities	2021-03-29	-
Ethk Funds Limited	Rep	Asset management	2020-07-02	2021-01-02
VC BROKERAGE LIMITED	Rep	Advising on securities	2020-07-02	2021-01-02
	Rep	Dealing in securities	2020-07-02	2021-01-02
Yuanta Securities (Hong Kong) Company Limited	Rep	Advising on securities	2019-02-22	2020-04-29
	Rep	Asset management	2018-12-17	2020-04-29
	Rep	Dealing in securities	2018-02-21	2020-04-29

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.