Personnel SFC Licences and HKMA Registrations (ID 2176891)

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 BROKING (HONG KONG) LIMITED	RO	Advising on futures contracts	2024-08-28	-
	RO	Dealing in futures contracts	2024-08-28	-
	RO	Advising on securities	2017-11-15	-
	RO	Providing automated trading services	2017-11-15	-
	RO	Dealing in securities	2017-11-15	-
	Rep	Advising on securities	2016-03-24	2017-11-15
	Rep	Providing automated trading services	2016-03-24	2017-11-15
	Rep	Dealing in securities	2016-03-24	2017-11-15
	Rep	Advising on futures contracts	2016-03-24	2024-08-28
	Rep	Dealing in futures contracts	2016-03-24	2024-08-28
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2013-12-09	2016-01-21
	Rep	Dealing in securities	2013-12-09	2016-01-21

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.