Personnel SFC Licences and HKMA Registrations (ID 78697)

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
EAST ASIA FUTURES LIMITED	Rep	Dealing in futures contracts	2024-02-16	-
EAST ASIA SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2003-04-01	-
	Rep	Providing automated trading services	2003-04-01	2003-08-26
	Rep	Advising on corporate finance	2003-04-01	2003-12-22
	Rep	Advising on securities	2003-04-01	2003-12-22
	Rep	Asset management	2003-04-01	2003-12-22

HKMA registrations

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

HKMA registration number: AB4256

Current registrations only

Institution	Activity	HKMA role	Capacity	From	Until	Status
東亞銀行有限公司	Dealing in securities	Non-EO	BUSINESS MANAGER	2003-04-01	—	Current
東亞銀行有限公司	Advising on securities	Non-EO	—	2003-04-01	2005-04-17	Former
東亞銀行有限公司	Advising on corporate finance	Non-EO	—	2003-04-01	2005-04-17	Former
東亞銀行有限公司	Providing automated trading services	Non-EO	—	2003-04-01	2005-01-10	Former
東亞銀行有限公司	Asset management	Non-EO	—	2003-04-01	2005-04-17	Former