Personnel SFC Licences and HKMA Registrations (ID 130314)

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
North Rock Capital Management (HK) Limited	Rep	Asset management	2023-11-06	-
Torq Capital Management (HK) Limited	Rep	Asset management	2018-04-09	2023-06-19
Tenbagger Investment Management (Hong Kong) Limited	RO	Advising on securities	2016-08-22	2018-03-16
	RO	Asset management	2016-08-22	2018-03-16
	Rep	Advising on securities	2015-10-07	2016-08-22
China Asset Management (Hong Kong) Limited	Rep	Advising on securities	2013-09-25	2015-06-27
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on corporate finance	2012-01-13	2013-08-20
	Rep	Advising on securities	2012-01-13	2013-08-20
	Rep	Dealing in securities	2012-01-13	2013-08-20
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2010-09-16	2011-03-26

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.