Personnel SFC Licences and HKMA Registrations (ID 2076240)

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
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	2023-09-28	-
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on corporate finance	2021-08-25	2023-06-23
	Rep	Advising on securities	2021-08-25	2023-06-23
	Rep	Dealing in securities	2021-08-25	2023-06-23
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2017-09-04	2021-06-18
	Rep	Advising on securities	2017-09-04	2021-06-18
	Rep	Dealing in securities	2017-09-04	2021-06-18
BOCI ASIA LIMITED	Rep	Advising on corporate finance	2014-01-24	2017-07-28
HARVEST GLOBAL INVESTMENTS LIMITED	Rep	Advising on securities	2013-05-30	2013-10-25
	Rep	Asset management	2013-05-30	2013-10-25

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.