Personnel SFC Licences and HKMA Registrations (ID 82981)

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
Topaz Financial Group Limited	RO	Advising on futures contracts	2019-04-25	-
	RO	Advising on securities	2019-04-25	-
TOPAZ CAPITAL MANAGEMENT LIMITED	RO	Asset management	2016-11-09	-
Topaz Financial Group Limited	RO	Dealing in futures contracts	2012-10-12	-
	RO	Dealing in securities	2012-10-12	-
HSBC BROKING FOREX (ASIA) LIMITED	Rep	Leveraged foreign exchange trading	2006-07-31	2012-04-05
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2005-12-22	2012-04-05
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2005-12-22	2012-04-05

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.