Personnel SFC Licences and HKMA Registrations (ID 2561401)

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
BARING ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2026-10-15	-
Credit Suisse (Hong Kong) Limited	Rep	Advising on securities	2019-08-06	2023-06-09
CLSA LIMITED	Rep	Advising on securities	2018-05-02	2019-06-15
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2016-04-14	2018-03-15

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.