Personnel SFC Licences and HKMA Registrations (ID 66935)

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
SPS COMMODITIES LIMITED	RO	Dealing in futures contracts	2005-01-26	2023-12-18
SPS INVESTMENT SERVICES LIMITED	RO	Advising on securities	2005-01-26	-
	RO	Advising on corporate finance	2005-01-26	2018-04-13
SPS SECURITIES LIMITED	Rep	Advising on corporate finance	2005-01-25	2005-01-26
	Rep	Advising on securities	2005-01-25	2005-01-26
SPS INVESTMENT SERVICES LIMITED	Rep	Dealing in securities	2003-04-01	2003-10-02
SPS SECURITIES LIMITED	RO	Asset management	2003-04-01	-
	RO	Dealing in securities	2003-04-01	-
	RO	Advising on corporate finance	2003-04-01	2005-01-25
	RO	Advising on securities	2003-04-01	2005-01-25

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.