Personnel SFC Licences and HKMA Registrations (ID 2466585)

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
Sinovation (HK) Investment Management Co., Limited	Rep	Advising on securities	2024-01-03	-
	Rep	Asset management	2024-01-03	-
UBS SECURITIES HONG KONG LIMITED	Rep	Advising on corporate finance	2016-12-19	2017-07-15
	Rep	Advising on corporate finance	2015-08-25	2016-12-18

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.