Personnel SFC Licences and HKMA Registrations (ID 87231)

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
SUMITOMO MITSUI DS ASSET MANAGEMENT (HONG KONG) LIMITED	Rep	Advising on securities	2023-08-10	-
	Rep	Dealing in securities	2023-08-10	-
Nomura Asset Management Hong Kong Limited	Rep	Advising on securities	2017-10-04	2018-04-10
	Rep	Asset management	2017-10-04	2018-04-10
	Rep	Dealing in securities	2017-10-04	2018-04-10
MATTHEWS GLOBAL INVESTORS (HONG KONG) LIMITED	Rep	Dealing in securities	2011-07-15	2017-02-28
THREADNEEDLE PORTFOLIO SERVICES HONG KONG LIMITED	Rep	Dealing in securities	2008-12-08	2011-07-01
Newedge Broker Limited	Rep	Providing automated trading services	2006-04-07	2008-03-19
	Rep	Dealing in futures contracts	2006-04-07	2008-03-19
	Rep	Dealing in securities	2006-04-07	2008-03-19

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.