Personnel SFC Licences and HKMA Registrations (ID 70685)

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
BARING ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2016-09-12	-
	Rep	Dealing in securities	2016-09-12	-
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on securities	2015-09-24	2016-07-23
	Rep	Dealing in securities	2015-09-24	2016-07-23
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2011-08-31	2012-09-28

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.