Personnel SFC Licences and HKMA Registrations (ID 4490)

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
Carret Private Capital Limited	RO	Asset management	2019-07-05	-
	RO	Advising on securities	2019-02-12	-
	RO	Dealing in securities	2019-02-12	-
	Rep	Advising on securities	2018-04-10	2019-02-12
	Rep	Dealing in securities	2018-04-10	2019-02-12
	Rep	Asset management	2018-04-10	2019-07-05
QL Asset Management Company Limited	Rep	Advising on securities	2017-07-18	2018-03-23
	Rep	Asset management	2017-07-18	2018-03-23
	Rep	Dealing in securities	2017-07-18	2018-03-23
Julius Baer (Hong Kong) Limited	Rep	Dealing in securities	2009-11-05	2011-06-13
	Rep	Advising on securities	2009-10-12	2011-06-13
CROSBY WEALTH MANAGEMENT (HONG KONG) LIMITED	Rep	Advising on securities	2006-05-23	2009-10-03
	Rep	Asset management	2006-05-23	2009-10-03

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.