Personnel SFC Licences and HKMA Registrations (ID 91465)

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	Asset management	2019-08-15	-
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Asset management	2019-08-15	-
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on securities	2019-07-22	-
	Rep	Dealing in securities	2019-07-22	-
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Advising on securities	2019-07-22	-
	Rep	Dealing in securities	2019-07-22	-
Yunfeng Financial Markets Limited	Rep	Advising on securities	2017-07-31	2019-06-21
	Rep	Dealing in securities	2017-07-31	2019-06-21
Yunfeng Securities Limited	Rep	Advising on securities	2017-07-31	2019-06-21
	Rep	Dealing in securities	2017-07-31	2019-06-21
SAIL ADVISORS LIMITED	Rep	Advising on securities	2013-12-16	2017-06-01
	Rep	Asset management	2013-12-16	2017-06-01
Penjing Asset Management (HK) Limited	Rep	Advising on securities	2006-09-20	2013-11-29
	Rep	Asset management	2006-09-20	2013-11-29

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.