Personnel SFC Licences and HKMA Registrations (ID 2211167)

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
PGIM (Hong Kong) Limited	RO	Advising on securities	2024-09-01	-
	RO	Dealing in securities	2024-09-01	-
	RO	Advising on securities	2022-01-26	2024-08-31
	RO	Dealing in securities	2022-01-26	2024-08-31
	Rep	Advising on securities	2021-09-20	2022-01-26
	Rep	Dealing in securities	2021-09-03	2022-01-26
Goldman Sachs Asset Management (Hong Kong) Limited	Rep	Dealing in securities	2016-09-12	2021-04-12
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2014-02-25	2017-04-01

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.