Personnel SFC Licences and HKMA Registrations (ID 24937801)

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
GF Securities (Hong Kong) Brokerage Limited	Rep	Dealing in securities	2024-08-27	-
uSmart Securities Limited	Rep	Dealing in securities	2023-10-06	2024-07-16
FRONTIER CAPITAL MANAGEMENT LIMITED (HK)	Rep	Advising on securities	2023-07-10	2023-09-20
	Rep	Dealing in securities	2023-07-10	2023-09-20
CTBC Asia Limited	Rep	Advising on securities	2021-09-16	2023-06-23
	Rep	Dealing in securities	2021-09-07	2023-06-23
PHILLIP COMMODITIES (HK) LIMITED	Rep	Dealing in futures contracts	2020-08-03	2021-08-18
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2020-08-03	2021-08-18

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.