Personnel SFC Licences and HKMA Registrations (ID 71336)

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-PRUDENTIAL ASSET MANAGEMENT LIMITED	RO	Advising on securities	2019-01-10	-
	RO	Dealing in securities	2019-01-10	-
	Rep	Advising on securities	2011-08-22	2019-01-10
	Rep	Dealing in securities	2011-08-22	2019-01-10
Legg Mason Asset Management Hong Kong Limited	Rep	Dealing in securities	2007-12-03	2011-07-28
	Rep	Advising on securities	2007-10-29	2011-07-28
BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2004-12-13	2007-10-24

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.