Personnel SFC Licences and HKMA Registrations (ID 1859689)

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
Aspenwood Capital Limited	RO	Advising on securities	2016-11-15	-
	RO	Asset management	2016-11-15	-
HONG KONG ASSET MANAGEMENT LIMITED	RO	Advising on securities	2015-11-04	2016-11-03
	Rep	Advising on securities	2015-08-28	2015-11-04
	Rep	Asset management	2015-08-28	2016-11-03
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2012-04-25	2013-01-24
	Rep	Dealing in securities	2012-04-25	2013-01-24
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on securities	2012-03-01	2012-03-29
	Rep	Dealing in securities	2012-03-01	2012-03-29
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2012-03-01	2012-03-29

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.