Personnel SFC Licences and HKMA Registrations (ID 135823)

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
BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2026-07-21	-
	Rep	Asset management	2026-07-21	-
	Rep	Dealing in securities	2026-07-21	-
CHINA LIFE FRANKLIN ASSET MANAGEMENT CO., LIMITED	RO	Dealing in securities	2022-06-02	2026-07-03
	RO	Advising on securities	2020-10-23	2026-07-03
	RO	Asset management	2020-10-23	2026-07-03
	Rep	Advising on securities	2019-11-04	2020-10-23
	Rep	Asset management	2019-11-04	2020-10-23
GaoTeng Global Asset Management Limited	Rep	Advising on securities	2019-06-24	2019-11-01
	Rep	Asset management	2019-06-24	2019-11-01
HARVEST GLOBAL INVESTMENTS LIMITED	Rep	Advising on securities	2016-12-06	2019-06-12
	Rep	Asset management	2016-12-06	2019-06-12
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2012-01-06	2014-03-28

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.