Personnel SFC Licences and HKMA Registrations (ID 23918028)

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
JPMorgan Funds (Asia) Limited	Rep	Advising on securities	2022-08-26	-
	Rep	Asset management	2022-08-26	-
CITIC Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2019-11-18	2020-05-04
	Rep	Advising on securities	2019-11-18	2020-05-04
CLSA LIMITED	Rep	Advising on securities	2019-11-18	2020-05-04
	Rep	Dealing in securities	2019-11-18	2020-05-04

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.