Personnel SFC Licences and HKMA Registrations (ID 2680675)

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
Sprout Asset Management (Asia) Limited	Rep	Advising on securities	2024-05-16	-
	Rep	Dealing in securities	2024-05-16	-
	Rep	Asset management	2024-05-16	2024-11-14
	Rep	Advising on securities	2023-06-14	2023-06-15
	Rep	Dealing in securities	2023-06-14	2023-06-15
	RO	Advising on securities	2022-11-15	2023-06-14
	RO	Dealing in securities	2022-11-15	2023-06-14
	Rep	Advising on securities	2022-04-25	2022-11-15
	Rep	Dealing in securities	2022-04-25	2022-11-15
D.J. SECURITIES LIMITED	Rep	Advising on securities	2017-01-03	2021-11-30
	Rep	Dealing in securities	2017-01-03	2021-11-30

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.