Personnel SFC Licences and HKMA Registrations (ID 73956)

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
Aspenwood Capital Limited	Rep	Advising on securities	2024-07-12	-
	Rep	Asset management	2024-07-12	-
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in securities	2019-10-22	2022-12-01
CAIIS Limited	Rep	Advising on securities	2009-07-29	2018-02-01
	Rep	Dealing in securities	2009-07-29	2018-02-01
RBC GLOBAL ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2008-03-04	2009-03-27
	Rep	Dealing in securities	2008-03-04	2009-03-27

HKMA registrations

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

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