Personnel SFC Licences and HKMA Registrations (ID 2133577)

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
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on securities	2022-12-20	-
	Rep	Asset management	2022-12-20	-
	Rep	Dealing in securities	2022-12-20	-
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Dealing in securities	2022-12-20	-
SCHRODER &AMP; CO. (HONG KONG) LIMITED	Rep	Advising on securities	2017-01-23	2018-04-13
	Rep	Dealing in securities	2017-01-23	2018-04-13
	Rep	Asset management	2014-11-04	2018-04-13
CIFM Asset Management (Hong Kong) Limited	Rep	Advising on securities	2013-09-17	2014-05-23
	Rep	Asset management	2013-09-17	2014-05-23

HKMA registrations

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

HKMA records could not be loaded. Please try again later.