Personnel SFC Licences and HKMA Registrations (ID 15478)

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
CAPITAL FOCUS ASSET MANAGEMENT LIMITED	RO	Advising on securities	2018-05-07	-
SHUN LOONG SECURITIES COMPANY LIMITED	RO	Dealing in securities	2017-08-24	-
CHINA FINANCIAL INTERNATIONAL INVESTMENTS &AMP; MANAGEMENTS LIMITED	RO	Asset management	2010-09-08	-
PANURGY LIMITED	RO	Asset management	2007-11-23	2008-02-01
CAPITAL FOCUS ASSET MANAGEMENT LIMITED	RO	Asset management	2007-08-24	-
PEGASUS FUND MANAGERS LIMITED	Rep	Advising on securities	2005-08-22	2007-08-15
	Rep	Asset management	2005-08-22	2007-08-15
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED	RO	Advising on corporate finance	2003-04-01	2004-10-18
	RO	Advising on futures contracts	2003-04-01	2004-10-18
	RO	Dealing in securities	2003-04-01	2004-10-18
	RO	Advising on securities	2003-04-01	2005-01-13
	RO	Asset management	2003-04-01	2005-01-13

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.