Personnel SFC Licences and HKMA Registrations (ID 89242)

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
PIMCO Asia Limited	RO	Advising on securities	2026-05-13	-
	RO	Asset management	2026-05-13	-
	RO	Dealing in securities	2026-05-13	-
	Rep	Advising on securities	2015-06-22	2026-05-13
	Rep	Asset management	2015-06-22	2026-05-13
	Rep	Dealing in securities	2012-12-03	2026-05-13
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2012-06-01	2012-11-12
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in securities	2012-06-01	2012-11-12
Morgan Stanley Asia Limited	Rep	Dealing in securities	2011-07-05	2012-11-12
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2011-07-05	2012-11-12

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.