Personnel SFC Licences and HKMA Registrations (ID 1939270)

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
Morgan Stanley Asia Limited	Rep	Dealing in securities	2022-09-01	-
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2022-09-01	-
Citigroup Global Markets Asia Limited	Rep	Dealing in futures contracts	2021-01-20	2022-07-12
	Rep	Dealing in securities	2021-01-20	2022-07-12
SG SECURITIES (HK) LIMITED	Rep	Dealing in futures contracts	2018-01-17	2021-01-08
	Rep	Dealing in securities	2018-01-17	2021-01-08
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2015-08-04	2017-05-26
	Rep	Dealing in securities	2015-08-04	2017-05-26
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2012-08-09	2014-06-28
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in securities	2012-08-09	2014-06-28
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2012-08-09	2014-06-28

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.