Personnel SFC Licences and HKMA Registrations (ID 131472)

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
SCHRODER INVESTMENT MANAGEMENT (HONG KONG) LIMITED	RO	Advising on securities	2025-07-31	-
	RO	Asset management	2025-07-31	-
	RO	Dealing in securities	2021-10-06	-
	Rep	Dealing in securities	2017-06-21	2021-10-06
	Rep	Advising on securities	2017-06-21	2025-07-31
	Rep	Asset management	2017-06-21	2025-07-31
STANDARD LIFE INVESTMENTS (HONG KONG) LIMITED	Rep	Asset management	2015-09-30	2017-04-28
	Rep	Dealing in securities	2015-04-08	2017-04-28
WELLINGTON MANAGEMENT HONG KONG LIMITED	Rep	Advising on securities	2011-09-19	2015-02-26
	Rep	Dealing in securities	2011-09-19	2015-02-26

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.