Personnel SFC Licences and HKMA Registrations (ID 85793)

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
LGT INVESTMENT MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2010-03-04	-
	Rep	Dealing in securities	2010-01-21	-
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2007-10-18	2009-10-14
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-10-18	2009-10-14

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.