Personnel SFC Licences and HKMA Registrations (ID 83752)

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
UBS Asset Management (Hong Kong) Limited	RO	Advising on securities	2023-11-13	-
	RO	Asset management	2023-11-13	-
	RO	Dealing in securities	2023-11-13	-
	Rep	Advising on securities	2022-05-17	2023-11-13
	Rep	Asset management	2022-05-17	2023-11-13
	Rep	Dealing in securities	2022-05-17	2023-11-13
Income Partners Asset Management (HK) Limited	Rep	Asset management	2019-07-09	2022-04-14
	RO	Asset management	2018-11-30	2019-07-09
	RO	Advising on securities	2018-11-30	2022-04-14
	RO	Advising on corporate finance	2012-08-24	2022-04-14
	Rep	Advising on corporate finance	2010-11-29	2012-08-24
	Rep	Advising on securities	2010-11-29	2018-11-30
	Rep	Asset management	2010-11-29	2018-11-30
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2006-03-13	2006-05-13

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.