Personnel SFC Licences and HKMA Registrations (ID 83800)

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
FWD Financial Planning Limited (HK)	Rep	Dealing in securities	2011-03-16	-
	Rep	Advising on securities	2009-10-28	-
THORNTON GLOBAL WEALTH MANAGEMENT LIMITED	Rep	Advising on securities	2004-07-06	2009-10-09
FWD Financial Planning Limited (HK)	Rep	Advising on securities	2003-08-13	2004-07-06

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.