Personnel SFC Licences and HKMA Registrations (ID 85811)

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
YAU WAI INTERNATIONAL ASSET MANAGEMENT COMPANY LIMITED	Rep	Advising on securities	2022-03-30	-
	Rep	Dealing in securities	2022-01-26	-
LGT INVESTMENT MANAGEMENT (ASIA) LIMITED	Rep	Dealing in securities	2009-08-31	2022-01-01
LOMBARD ODIER (HONG KONG) LIMITED	Rep	Dealing in securities	2005-02-14	2009-08-14
	Rep	Advising on corporate finance	2003-04-01	2005-01-26
	Rep	Advising on securities	2003-04-01	2009-08-14
	Rep	Asset management	2003-04-01	2009-08-14

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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