Personnel SFC Licences and HKMA Registrations (ID 71343)

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
TAIKANG ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED	Rep	Advising on securities	2021-01-12	-
	Rep	Asset management	2021-01-12	-
	Rep	Dealing in securities	2021-01-12	-
GUOTAI JUNAN ASSETS (ASIA) LIMITED	Rep	Advising on securities	2012-10-24	2014-11-11
	Rep	Asset management	2012-10-24	2014-11-11
BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2007-10-04	2012-10-11
	Rep	Advising on securities	2007-10-04	2012-10-11
	Rep	Asset management	2007-10-04	2012-10-11
	Rep	Dealing in securities	2007-10-04	2012-10-11

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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