Personnel SFC Licences and HKMA Registrations (ID 130882)

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
S&AMP;P GLOBAL RATINGS HONG KONG LIMITED	Rep	Providing credit rating services	2024-07-22	-
Carret Private Capital Limited	Rep	Advising on securities	2018-04-30	2019-04-03
	Rep	Asset management	2018-04-30	2019-04-03
	Rep	Dealing in securities	2018-04-30	2019-04-03
QL Asset Management Company Limited	Rep	Advising on securities	2015-09-22	2018-04-30
	Rep	Asset management	2015-09-22	2018-04-30
	Rep	Dealing in securities	2015-09-22	2018-04-30
Knight Capital Asia Limited	Rep	Advising on securities	2011-03-25	2011-08-04
	Rep	Dealing in securities	2011-03-25	2011-08-04

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.