Personnel SFC Licences and HKMA Registrations (ID 88123)

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
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on securities	2023-07-24	-
	Rep	Asset management	2023-07-24	-
	Rep	Dealing in securities	2023-07-24	-
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Dealing in securities	2023-07-24	-
GAVEKAL CAPITAL LIMITED	Rep	Asset management	2013-09-04	2015-03-31
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2009-04-21	2012-03-27
	Rep	Advising on securities	2009-04-21	2012-03-27
	Rep	Dealing in securities	2009-04-21	2012-03-27
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2009-04-21	2012-03-27
	Rep	Advising on securities	2009-04-21	2012-03-27
	Rep	Dealing in securities	2009-04-21	2012-03-27
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2008-07-14	2009-03-12
	Rep	Advising on securities	2008-07-14	2009-03-12
	Rep	Dealing in securities	2008-07-14	2009-03-12
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2008-07-14	2009-03-12
	Rep	Advising on securities	2008-07-14	2009-03-12
	Rep	Dealing in securities	2008-07-14	2009-03-12

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.