Personnel SFC Licences and HKMA Registrations (ID 22600857)

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
CHARLES SCHWAB, HONG KONG, LIMITED	Rep	Advising on securities	2022-06-06	-
	Rep	Dealing in securities	2022-04-28	-
TD Ameritrade Hong Kong Limited	Rep	Dealing in futures contracts	2019-01-02	2022-04-25
	Rep	Dealing in securities	2019-01-02	2022-04-25

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.