Personnel SFC Licences and HKMA Registrations (ID 22857580)

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
UBS Asset Management (Hong Kong) Limited	RO	Advising on securities	2022-07-04	-
	RO	Asset management	2022-07-04	-
	RO	Dealing in securities	2022-07-04	-
	Rep	Advising on securities	2022-04-19	2022-07-04
	Rep	Asset management	2022-04-19	2022-07-04
	Rep	Dealing in securities	2022-04-19	2022-07-04
BARING ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on futures contracts	2019-03-05	2020-11-20
	Rep	Advising on securities	2019-03-05	2020-11-20
	Rep	Asset management	2019-03-05	2020-11-20
	Rep	Dealing in securities	2019-03-05	2020-11-20

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.