Personnel SFC Licences and HKMA Registrations (ID 2528069)

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
BNY Mellon Investment Management Hong Kong Limited	RO	Dealing in futures contracts	2022-08-10	-
	RO	Dealing in securities	2022-08-10	-
	Rep	Asset management	2022-01-13	-
	Rep	Dealing in futures contracts	2022-01-13	2022-08-10
	Rep	Dealing in securities	2022-01-13	2022-08-10
LEGAL &AMP; GENERAL INVESTMENT MANAGEMENT ASIA LIMITED	Rep	Asset management	2017-12-11	2021-12-29
	Rep	Dealing in futures contracts	2017-12-11	2021-12-29
	Rep	Dealing in securities	2017-08-15	2021-12-29
Jefferies Hong Kong Limited	Rep	Dealing in securities	2016-01-18	2017-07-26

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.