Personnel SFC Licences and HKMA Registrations (ID 20842648)

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
UBS Asset Management (Hong Kong) Limited	Rep	Advising on securities	2024-03-28	-
	Rep	Dealing in securities	2024-03-28	-
Credit Suisse (Hong Kong) Limited	Rep	Advising on securities	2021-07-27	2024-04-02
	Rep	Dealing in securities	2021-07-27	2024-04-02
Vanguard Investments Hong Kong Limited	Rep	Advising on securities	2018-07-25	2020-10-23
	Rep	Dealing in securities	2018-07-25	2020-10-23

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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