Personnel SFC Licences and HKMA Registrations (ID 2470794)

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
Annum Asset Management (Hong Kong) Limited	Rep	Advising on securities	2022-05-20	-
	Rep	Asset management	2022-05-20	-
	Rep	Dealing in securities	2022-05-20	-
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Advising on securities	2022-01-25	2022-03-21
	Rep	Dealing in securities	2022-01-25	2022-03-21
Yuanta Securities (Hong Kong) Company Limited	Rep	Advising on securities	2021-06-25	2021-12-31
	Rep	Dealing in securities	2021-06-25	2021-12-31
RBC GLOBAL ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2015-09-04	2016-07-09
	Rep	Asset management	2015-09-04	2016-07-09
	Rep	Dealing in securities	2015-09-04	2016-07-09

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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