Personnel SFC Licences and HKMA Registrations (ID 72230)

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
BOCOM International Asset Management Limited	Rep	Advising on securities	2025-04-09	-
	Rep	Asset management	2025-04-09	-
	Rep	Dealing in securities	2025-04-09	-
BOCOM International Securities Limited	Rep	Advising on securities	2022-12-09	2025-03-05
	Rep	Dealing in securities	2022-12-09	2025-03-05
HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2021-10-19	2022-04-19
	Rep	Advising on securities	2021-10-19	2022-04-19
	Rep	Asset management	2021-10-19	2022-04-19
APlus Partners Asset Management Limited	RO	Advising on securities	2021-03-04	2021-08-31
	RO	Asset management	2021-03-04	2021-08-31
	Rep	Advising on securities	2021-03-01	2021-03-04
	Rep	Asset management	2021-03-01	2021-03-04
CCB INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	Dealing in securities	2012-05-03	2019-09-15
	Rep	Advising on securities	2011-08-10	2019-09-15
	Rep	Asset management	2011-06-10	2019-09-15

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.