Personnel SFC Licences and HKMA Registrations (ID 17820948)

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
TFI Securities and Futures Limited	Rep	Dealing in futures contracts	2024-04-02	-
	Rep	Dealing in securities	2024-04-02	-
SC Lowy Asset Management (HK) Limited	Rep	Asset management	2021-07-28	2023-08-28
SC Lowy Financial (HK) Limited	Rep	Dealing in securities	2021-07-28	2023-08-28
BOCOM International Asset Management Limited	Rep	Advising on securities	2020-07-20	2021-07-17
	Rep	Asset management	2020-07-20	2021-07-17
	Rep	Dealing in securities	2020-07-20	2021-07-17
CMBC SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2018-11-12	2020-06-26
CMBC ASSET MANAGEMENT COMPANY LIMITED	Rep	Advising on securities	2018-09-28	2020-06-26
	Rep	Asset management	2018-09-28	2020-06-26
XinKong International Asset Management Limited	Rep	Asset management	2018-06-25	2018-09-14
XinKong International Securities Limited	Rep	Advising on securities	2018-06-25	2018-09-14

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.