Personnel SFC Licences and HKMA Registrations (ID 91488)

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
CTBC Asia Limited	RO	Advising on securities	2022-09-08	-
	RO	Asset management	2022-09-08	-
	RO	Dealing in securities	2022-09-08	-
	Rep	Advising on securities	2022-07-28	2022-09-08
	Rep	Asset management	2022-07-28	2022-09-08
	Rep	Dealing in securities	2022-07-28	2022-09-08
HS Securities Limited	RO	Advising on securities	2020-10-14	2022-02-28
	RO	Asset management	2020-10-14	2022-02-28
	RO	Dealing in securities	2020-10-14	2022-02-28
OPEN ASSET MANAGEMENT LIMITED	RO	Advising on securities	2014-04-28	2020-08-13
Open Securities Limited	RO	Advising on securities	2014-04-28	2020-08-13
	RO	Dealing in futures contracts	2014-04-28	2020-08-13
	RO	Dealing in securities	2014-04-28	2020-08-13
OPEN ASSET MANAGEMENT LIMITED	RO	Asset management	2013-08-09	2020-08-13
	Rep	Asset management	2013-01-14	2013-08-09
Open Securities Limited	Rep	Advising on securities	2013-01-14	2014-04-28
	Rep	Dealing in futures contracts	2013-01-14	2014-04-28
	Rep	Dealing in securities	2013-01-14	2014-04-28
PHILLIP CAPITAL MANAGEMENT (HK) LIMITED	Rep	Asset management	2007-05-28	2013-01-01
PHILLIP COMMODITIES (HK) LIMITED	Rep	Advising on futures contracts	2007-05-28	2013-01-01
	Rep	Dealing in futures contracts	2007-05-28	2013-01-01
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2007-05-28	2013-01-01
	Rep	Dealing in securities	2007-05-11	2013-01-01
Yuanta Asia Investment (Hong Kong) Limited	RO	Dealing in securities	2005-12-09	2007-03-31

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.