Personnel SFC Licences and HKMA Registrations (ID 85961)

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
Sanford C. Bernstein (Hong Kong) Limited	RO	Advising on securities	2026-08-21	-
	Rep	Advising on securities	2026-08-21	2026-08-21
Polen Capital HK Limited	Rep	Advising on securities	2012-10-04	2014-04-24
	Rep	Asset management	2012-10-04	2014-04-24
	Rep	Dealing in securities	2012-10-04	2014-04-24
LLOYD GEORGE INVESTMENT MANAGEMENT (HONG KONG) LIMITED	Rep	Asset management	2005-11-07	2012-10-31
	Rep	Advising on securities	2005-09-29	2012-10-31
	Rep	Dealing in securities	2005-09-29	2012-10-31
Credit Suisse (Hong Kong) Limited	Rep	Advising on corporate finance	2005-01-15	2005-07-26
	Rep	Advising on securities	2005-01-15	2005-07-26
	Rep	Dealing in securities	2005-01-15	2005-07-26
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in securities	2003-10-16	2003-11-20
Citigroup Global Markets Asia Limited	Rep	Advising on securities	2003-04-01	2003-10-10
	Rep	Asset management	2003-04-01	2003-10-10
	Rep	Providing automated trading services	2003-04-01	2003-10-10
	Rep	Advising on corporate finance	2003-04-01	2003-11-20
	Rep	Dealing in securities	2003-04-01	2003-11-20

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.