Personnel SFC Licences and HKMA Registrations (ID 48939)

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
Somerley Capital Limited	Rep	Advising on corporate finance	2014-07-14	-
	Rep	Dealing in securities	2014-07-14	-
Shang International Finance Limited	Rep	Advising on corporate finance	2013-03-04	2013-07-06
	RO	Dealing in securities	2009-07-21	2013-07-06
Atherton Asset Management Limited	RO	Asset management	2008-09-10	2014-03-07
Shang International Finance Limited	RO	Asset management	2007-03-20	2013-07-06
	RO	Advising on corporate finance	2006-03-29	2007-02-02
	RO	Dealing in securities	2006-03-29	2007-02-13
	Rep	Asset management	2006-03-29	2007-03-20
	RO	Advising on securities	2006-03-29	2013-07-06
	Rep	Advising on corporate finance	2005-05-09	2006-03-29
	Rep	Dealing in securities	2005-05-09	2006-03-29
Standard Chartered Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2003-10-02	2005-05-04
	Rep	Dealing in securities	2003-10-02	2005-05-04
Shang International Finance Limited	Rep	Advising on corporate finance	2003-04-01	2003-09-05
	Rep	Advising on securities	2003-04-01	2003-09-05
	Rep	Asset management	2003-04-01	2003-09-05

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.