Personnel SFC Licences and HKMA Registrations (ID 86373)

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
Macquarie Asia Securities Limited	Rep	Dealing in securities	2020-09-30	-
MACQUARIE CAPITAL LIMITED	Rep	Dealing in securities	2016-10-03	-
	Rep	Dealing in securities	2011-04-26	2012-11-30
Standard Chartered Securities (Hong Kong) Limited	Rep	Dealing in securities	2007-03-05	2011-03-14
Credit Agricole Securities (Asia) Limited	Rep	Advising on corporate finance	2003-04-01	2004-09-24
	Rep	Asset management	2003-04-01	2004-09-24
	Rep	Advising on securities	2003-04-01	2005-03-23
	Rep	Dealing in securities	2003-04-01	2007-01-25
RBS Asia Securities (Hong Kong) Limited	Rep	Advising on corporate finance	2003-04-01	2005-02-04
	Rep	Advising on securities	2003-04-01	2005-02-04
	Rep	Asset management	2003-04-01	2005-02-04
	Rep	Dealing in securities	2003-04-01	2005-02-04

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.