Personnel SFC Licences and HKMA Registrations (ID 1947177)

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
MUFG Securities Asia Limited	Rep	Advising on corporate finance	2015-02-03	-
	Rep	Advising on securities	2013-09-16	-
	Rep	Dealing in securities	2013-09-16	-
ORIENTAL PATRON SECURITIES LIMITED	Rep	Dealing in securities	2013-05-16	2013-07-13
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on securities	2012-08-29	2013-02-20

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.