Personnel SFC Licences and HKMA Registrations (ID 87769)

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
KGI ASIA LIMITED	Rep	Advising on securities	2025-04-03	-
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on securities	2010-04-08	2015-08-14
	Rep	Dealing in securities	2009-05-19	2015-08-14
UBS SECURITIES ASIA LIMITED	Rep	Advising on securities	2008-05-14	2009-04-15

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.