Personnel SFC Licences and HKMA Registrations (ID 1965671)

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
Stonepeak (Hong Kong) Limited	Rep	Asset management	2025-09-02	-
BLACKSTONE GROUP (HK) LIMITED, THE	Rep	Dealing in securities	2020-04-17	2025-02-19
UBS SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	2018-08-15	2020-02-27
ROTHSCHILD &AMP; CO HONG KONG LIMITED	Rep	Advising on corporate finance	2015-09-24	2015-11-30
	Rep	Advising on securities	2015-09-24	2015-11-30
	Rep	Dealing in securities	2015-09-24	2015-11-30
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2012-10-12	2015-01-08
	Rep	Advising on securities	2012-10-12	2015-01-08
	Rep	Dealing in securities	2012-10-12	2015-01-08

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.