Personnel SFC Licences and HKMA Registrations (ID 71942)

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
BTIG Hong Kong Limited	Rep	Dealing in securities	2011-01-06	-
SG SECURITIES (HK) LIMITED	Rep	Providing automated trading services	2005-07-11	2010-11-25
	Rep	Dealing in futures contracts	2005-07-11	2010-11-25
	Rep	Dealing in securities	2005-07-11	2010-11-25
CREDIT AGRICOLE INDOSUEZ CHEUVREUX SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-07-09
	Rep	Advising on securities	2003-04-01	2003-07-09
	Rep	Asset management	2003-04-01	2003-07-09
	Rep	Dealing in securities	2003-04-01	2003-09-30
SG Asset Finance (Hong Kong) Limited	Rep	Advising on corporate finance	2003-04-01	2003-07-09
	Rep	Advising on securities	2003-04-01	2003-07-09
	Rep	Asset management	2003-04-01	2003-07-09
	Rep	Providing automated trading services	2003-04-01	2003-07-09
	Rep	Dealing in securities	2003-04-01	2005-07-08

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.