Personnel SFC Licences and HKMA Registrations (ID 88415)

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
Moody's Investors Service Hong Kong Limited	Rep	Providing credit rating services	2015-01-05	-
Mirae Asset Securities (HK) Limited	Rep	Advising on securities	2009-12-07	2013-06-30
MF Securities Hong Kong Limited	Rep	Advising on securities	2009-01-05	2009-10-30
CLSA RESEARCH LIMITED	Rep	Advising on securities	2007-07-16	2008-10-08

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.