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Personnel SFC Licences and HKMA Registrations (ID 33587059)
Personnel
Key Data
Licences & registrations
Public Disciplinary Actions
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
Nuveen Hong Kong Limited
Rep
Advising on securities
2025-06-16
-
Rep
Dealing in securities
2025-06-16
-
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.