Personnel SFC Licences and HKMA Registrations (ID 2132227)

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
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on corporate finance	2016-08-01	-
	Rep	Advising on securities	2016-08-01	-
	Rep	Dealing in securities	2016-08-01	-
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2016-03-11	2016-06-01
	Rep	Dealing in securities	2016-03-11	2016-06-01
	Rep	Advising on corporate finance	2014-10-31	2016-01-21
	Rep	Dealing in securities	2014-10-31	2016-01-21
ROTHSCHILD &AMP; CO HONG KONG LIMITED	Rep	Advising on corporate finance	2013-09-16	2014-10-10
	Rep	Advising on securities	2013-09-16	2014-10-10

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.