Personnel SFC Licences and HKMA Registrations (ID 1866716)

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
SYNCICAP Asset Management Limited	Rep	Advising on securities	2023-11-13	-
	Rep	Asset management	2023-11-13	-
	Rep	Dealing in securities	2023-11-13	-
SUMITOMO MITSUI DS ASSET MANAGEMENT (HONG KONG) LIMITED	Rep	Advising on securities	2019-10-01	2023-10-27
	Rep	Asset management	2019-10-01	2023-10-27
	Rep	Dealing in securities	2019-10-01	2023-10-27
	Rep	Advising on securities	2016-03-07	2019-09-30
	Rep	Asset management	2016-03-07	2019-09-30
	Rep	Dealing in securities	2016-03-07	2019-09-30
SMBC NIKKO SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2014-04-16	2016-01-22
	Rep	Dealing in securities	2014-04-02	2016-01-22
FIRST SECURITIES (HK) LIMITED	Rep	Dealing in securities	2012-03-19	2014-03-21

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.