Personnel SFC Licences and HKMA Registrations (ID 89672)

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
ROTHSCHILD &AMP; CO HONG KONG LIMITED	RO	Advising on corporate finance	2023-09-01	-
	RO	Advising on securities	2023-09-01	-
	RO	Dealing in securities	2023-09-01	-
	Rep	Advising on securities	2018-10-18	2023-09-01
	Rep	Advising on corporate finance	2018-09-24	2023-09-01
	Rep	Dealing in securities	2018-09-24	2023-09-01
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	2011-07-26	2018-06-15
	Rep	Dealing in securities	2011-07-26	2018-06-15

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.