Personnel SFC Licences and HKMA Registrations (ID 82559)

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
HANG SENG FUTURES LIMITED	RO	Dealing in futures contracts	2017-05-22	2017-07-14
HANG SENG SECURITIES LIMITED	RO	Advising on securities	2017-05-22	-
	RO	Dealing in securities	2017-05-22	-
HANG SENG FUTURES LIMITED	Rep	Dealing in futures contracts	2008-12-24	2017-05-22
	Rep	Advising on futures contracts	2008-12-24	2017-06-28
HANG SENG SECURITIES LIMITED	Rep	Providing automated trading services	2003-04-01	2003-12-01
	Rep	Advising on corporate finance	2003-04-01	2004-05-07
	Rep	Asset management	2003-04-01	2004-05-07
	Rep	Advising on securities	2003-04-01	2010-09-09
	Rep	Dealing in securities	2003-04-01	2010-09-09

HKMA registrations

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

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