Personnel SFC Licences and HKMA Registrations (ID 75444)

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
Sanford C. Bernstein (Hong Kong) Limited	RO	Advising on securities	2026-10-27	-
	RO	Dealing in securities	2026-10-27	-
	Rep	Advising on securities	2021-12-01	2026-10-27
	Rep	Dealing in securities	2021-11-19	2026-10-27
CLSA FUTURES LIMITED	RO	Advising on futures contracts	2015-09-04	2016-02-15
	RO	Dealing in futures contracts	2015-09-04	2016-02-15
	Rep	Dealing in futures contracts	2008-02-26	2015-09-04
CLSA LIMITED	Rep	Dealing in securities	2007-02-21	2021-08-23

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.