Personnel SFC Licences and HKMA Registrations (ID 71207)

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
AVENUE INVESTMENT MANAGEMENT LIMITED	Rep	Advising on securities	2025-07-23	-
	Rep	Asset management	2025-07-23	-
	Rep	Dealing in securities	2025-07-23	-
Avenue Family Office Limited	Rep	Advising on securities	2019-11-18	-
	Rep	Asset management	2019-11-18	-
	Rep	Dealing in securities	2019-11-18	-
BOCI SECURITIES LIMITED	Rep	Leveraged foreign exchange trading	2012-07-26	2012-08-27
	Rep	Dealing in futures contracts	2009-11-24	2012-08-27
	Rep	Advising on securities	2007-11-08	2011-11-10
	Rep	Dealing in securities	2007-11-08	2012-08-27
FWD Financial Planning Limited (HK)	Rep	Advising on securities	2007-08-03	2007-10-16

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.