Personnel SFC Licences and HKMA Registrations (ID 89854)

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
Morgan Stanley Asia Limited	Rep	Dealing in securities	2006-03-28	2024-01-19
	Rep	Advising on securities	2006-03-23	-
SMBC NIKKO SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2006-02-16	2006-03-03

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.