Personnel SFC Licences and HKMA Registrations (ID 2202863)

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 BROKING SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2026-11-02	-
	Rep	Dealing in securities	2026-11-02	-
	Rep	Advising on securities	2026-08-03	2026-11-01
	Rep	Dealing in securities	2026-08-03	2026-11-01
	Rep	Advising on securities	2019-03-01	2026-08-02
	Rep	Dealing in securities	2019-03-01	2026-08-02
HARRIS FRASER (INTERNATIONAL) LIMITED	Rep	Advising on securities	2016-05-20	2017-08-21
	Rep	Asset management	2016-05-20	2017-08-21
	Rep	Dealing in securities	2015-11-26	2017-08-21
	Rep	Dealing in securities	2014-02-04	2015-08-08

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.