Personnel SFC Licences and HKMA Registrations (ID 23667770)

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
BOCHK Asset Management Limited	Rep	Advising on securities	2025-07-04	-
	Rep	Asset management	2025-07-04	-
	Rep	Dealing in securities	2025-07-04	-
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Advising on securities	2021-09-01	2021-11-05
BOCI RESEARCH LIMITED	Rep	Advising on securities	2020-11-09	2021-07-30
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Advising on corporate finance	2020-07-30	2020-10-16
	Rep	Dealing in securities	2020-07-30	2020-10-16
	Rep	Advising on securities	2019-09-16	2020-10-16

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.