Personnel SFC Licences and HKMA Registrations (ID 71943)

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	2008-04-23	-
ETRADE SECURITIES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2006-02-08	2007-10-12
	Rep	Advising on securities	2004-07-28	2007-11-23
	Rep	Dealing in securities	2004-07-15	2007-11-23
CLSA LIMITED	Rep	Dealing in securities	2003-05-28	2004-06-28
MACQUARIE EQUITIES (ASIA) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-05-23
	Rep	Advising on securities	2003-04-01	2003-05-23
	Rep	Asset management	2003-04-01	2003-05-23
	Rep	Dealing in securities	2003-04-01	2003-05-23

HKMA registrations

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

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