Personnel SFC Licences and HKMA Registrations (ID 131137)

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
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on securities	2024-12-16	-
	Rep	Dealing in securities	2024-12-16	-
BOCHK Asset Management Limited	Rep	Advising on securities	2020-04-06	2021-11-15
	Rep	Asset management	2020-04-06	2021-11-15
	Rep	Dealing in securities	2020-04-06	2021-11-15
Moody's Investors Service Hong Kong Limited	Rep	Providing credit rating services	2015-11-06	2019-12-30
KGI ASIA LIMITED	Rep	Advising on securities	2014-03-10	2015-10-13
	Rep	Dealing in securities	2014-03-10	2015-10-13
FWD Life Insurance Company (Bermuda) Limited	Rep	Asset management	2013-02-06	2014-02-08
Moody's Investors Service Hong Kong Limited	Rep	Providing credit rating services	2011-06-01	2012-07-04

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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