Personnel SFC Licences and HKMA Registrations (ID 71135)

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
ARTA GLOBAL MARKETS LIMITED	Rep	Asset management	2024-06-12	-
Arta Global Futures Limited	RO	Dealing in futures contracts	2022-12-14	-
ARTA GLOBAL MARKETS LIMITED	RO	Advising on securities	2022-12-14	-
	RO	Dealing in securities	2022-12-14	-
BOCI ASIA LIMITED	RO	Dealing in securities	2016-11-04	2022-03-01
BOCI SECURITIES LIMITED	RO	Advising on securities	2016-11-04	2022-03-01
	RO	Dealing in futures contracts	2016-11-04	2022-03-01
	RO	Dealing in securities	2016-11-04	2022-03-01
BOCI ASIA LIMITED	Rep	Dealing in securities	2016-09-08	2016-11-04
BOCI SECURITIES LIMITED	Rep	Advising on securities	2014-03-04	2016-11-04
	Rep	Dealing in futures contracts	2005-10-13	2016-11-04
BOCI COMMODITIES &AMP; FUTURES LIMITED	Rep	Dealing in futures contracts	2005-03-24	2011-01-27
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2005-03-24	2016-11-04

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.