Personnel SFC Licences and HKMA Registrations (ID 71121)

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
BOCI SECURITIES LIMITED	Rep	Advising on futures contracts	2024-06-05	2025-11-12
	Rep	Leveraged foreign exchange trading	2013-10-02	2014-09-29
	Rep	Advising on securities	2011-06-17	-
	Rep	Dealing in securities	2011-06-17	-
	Rep	Dealing in futures contracts	2011-06-17	2025-11-12
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2010-12-06	2011-03-08
Morgan Stanley Asia Limited	Rep	Dealing in securities	2010-07-05	2011-03-08
Morgan Stanley Hong Kong Futures Limited	Rep	Dealing in futures contracts	2010-07-05	2010-12-06
GAOYU SECURITIES LIMITED	Rep	Advising on corporate finance	2004-08-17	2005-03-31
	Rep	Advising on securities	2004-08-17	2005-03-31
	Rep	Asset management	2004-08-17	2005-06-03
	Rep	Dealing in securities	2004-08-17	2007-10-01
OCBC SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-02-10
	Rep	Advising on securities	2003-04-01	2004-02-10
	Rep	Asset management	2003-04-01	2004-02-10
	Rep	Providing automated trading services	2003-04-01	2004-02-10
	Rep	Dealing in securities	2003-04-01	2004-02-10

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.