Personnel SFC Licences and HKMA Registrations (ID 16567379)

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
MAN INVESTMENTS (HONG KONG) LIMITED	Rep	Advising on securities	2023-10-03	-
	Rep	Asset management	2023-10-03	-
	Rep	Dealing in securities	2023-10-03	-
GLG Partners Hong Kong Limited	Rep	Asset management	2022-12-06	2023-10-02
	Rep	Advising on securities	2022-09-05	2023-10-02
	Rep	Dealing in securities	2022-09-05	2023-10-02
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2018-06-04	2022-08-19
	Rep	Advising on securities	2018-06-04	2022-08-19
CLSA LIMITED	Rep	Advising on securities	2018-06-04	2021-07-26
	Rep	Dealing in securities	2018-06-04	2022-08-19

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.