Personnel SFC Licences and HKMA Registrations (ID 1939364)

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
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2025-01-17	-
	Rep	Dealing in securities	2025-01-17	-
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	2017-11-28	2019-09-27
	Rep	Dealing in securities	2017-11-28	2019-09-27
UBS SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	2016-12-19	2017-10-04
	Rep	Advising on corporate finance	2015-03-20	2016-12-18
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2012-08-07	2015-01-31
	Rep	Advising on securities	2012-08-07	2015-01-31
	Rep	Dealing in securities	2012-08-07	2015-01-31

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.