Personnel SFC Licences and HKMA Registrations (ID 2599939)

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
Aspenwood Capital Limited	Rep	Advising on securities	2025-06-30	-
	Rep	Asset management	2025-06-30	-
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on securities	2016-07-04	2022-08-01
	Rep	Dealing in securities	2016-07-04	2022-08-01

HKMA registrations

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

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