Personnel SFC Licences and HKMA Registrations (ID 75356)

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
LGT INVESTMENT MANAGEMENT (ASIA) LIMITED	Rep	Dealing in securities	2012-05-25	-
CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED	RO	Advising on futures contracts	2009-10-19	2011-02-01
	RO	Advising on securities	2009-10-19	2012-04-01
	RO	Asset management	2009-10-19	2012-04-01
	RO	Dealing in securities	2009-10-19	2012-04-01
	Rep	Dealing in securities	2009-04-16	2009-10-19
	Rep	Advising on futures contracts	2006-09-01	2009-10-19
	Rep	Advising on securities	2006-09-01	2009-10-19
	Rep	Asset management	2006-09-01	2009-10-19

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.