Personnel SFC Licences and HKMA Registrations (ID 16882)

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
SINO-RICH SECURITIES &AMP; FUTURES LIMITED	RO	Advising on corporate finance	2005-09-17	2011-03-15
Friedmann Pacific Asset Management (Hong Kong) Limited	RO	Advising on securities	-	2015-09-07
	RO	Asset management	-	2015-09-07
SINO-RICH SECURITIES &AMP; FUTURES LIMITED	RO	Dealing in securities	-	2014-05-30

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.