Personnel SFC Licences and HKMA Registrations (ID 27228537)

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
Wells Fargo Securities Asia Limited	RO	Dealing in futures contracts	2022-11-02	-
	Rep	Advising on securities	2021-09-14	-
	Rep	Dealing in securities	2021-09-14	-
	Rep	Asset management	2021-09-14	2023-02-24

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.