Personnel SFC Licences and HKMA Registrations (ID 2693897)

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
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	Advising on securities	2021-11-16	-
	Rep	Dealing in futures contracts	2021-11-16	-
	Rep	Dealing in securities	2021-11-16	-
Quam Securities Limited	Rep	Advising on securities	2018-04-27	2018-11-16
	Rep	Asset management	2018-04-27	2018-11-16
	Rep	Dealing in futures contracts	2017-02-07	2018-11-16
	Rep	Dealing in securities	2017-02-07	2018-11-16

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.