Personnel SFC Licences and HKMA Registrations (ID 27101641)

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
NORTHERN TRUST COMPANY OF HONG KONG LIMITED, THE	Rep	Advising on securities	2023-09-28	-
	Rep	Asset management	2023-09-28	-
	Rep	Dealing in securities	2023-09-28	-
HARVEST GLOBAL INVESTMENTS LIMITED	Rep	Advising on securities	2023-05-23	2023-08-28
	Rep	Asset management	2023-05-23	2023-08-28
	Rep	Dealing in securities	2023-05-23	2023-08-28
HANG SENG INVESTMENT MANAGEMENT LIMITED	Rep	Advising on futures contracts	2021-08-12	2023-05-08
	Rep	Advising on securities	2021-08-12	2023-05-08
	Rep	Asset management	2021-08-12	2023-05-08
	Rep	Dealing in securities	2021-08-12	2023-05-08

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.