Personnel SFC Licences and HKMA Registrations (ID 2287814)

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
Jefferies Hong Kong Limited	RO	Advising on corporate finance	2019-04-04	-
	RO	Advising on securities	2019-04-04	-
	RO	Dealing in securities	2019-04-04	-
	Rep	Advising on corporate finance	2018-11-02	2019-04-04
	Rep	Advising on securities	2018-11-02	2019-04-04
	Rep	Dealing in securities	2018-11-02	2019-04-04
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on corporate finance	2015-12-02	2018-09-13
	Rep	Advising on securities	2015-12-02	2018-09-13
	Rep	Dealing in securities	2015-12-02	2018-09-13
UBS SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	2015-02-03	2015-09-03
	Rep	Advising on corporate finance	2014-10-20	2015-01-14
	Rep	Advising on corporate finance	2014-06-30	2014-09-29

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.