Personnel SFC Licences and HKMA Registrations (ID 24032780)

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
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Advising on securities	2021-08-24	-
	Rep	Dealing in securities	2021-08-24	-
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2021-08-24	-
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on futures contracts	2019-12-18	2020-02-25
	Rep	Advising on securities	2019-12-18	2020-02-25
	Rep	Dealing in futures contracts	2019-12-18	2020-02-25
	Rep	Dealing in securities	2019-12-18	2020-02-25

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.