Personnel SFC Licences and HKMA Registrations (ID 83045)

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
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2026-11-02	-
	Rep	Dealing in securities	2026-11-02	-
	Rep	Dealing in securities	2026-08-03	2026-11-01
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2008-03-26	2026-11-01
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2005-01-11	2026-08-02
Yunfeng Financial Markets Limited	Rep	Dealing in securities	2004-08-23	2005-01-05

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.