Personnel SFC Licences and HKMA Registrations (ID 18609993)

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
Jefferies Hong Kong Limited	Rep	Dealing in securities	2024-08-09	-
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2023-04-14	2023-10-17
	Rep	Dealing in securities	2023-04-14	2023-10-17
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2021-04-09	2022-08-05
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2021-04-09	2022-08-05
	Rep	Dealing in securities	2021-04-09	2022-08-05
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2018-07-05	2021-02-16
	Rep	Dealing in futures contracts	2018-07-05	2021-02-16
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on securities	2018-07-05	2021-02-16
	Rep	Dealing in securities	2018-07-05	2021-02-16

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.