Personnel SFC Licences and HKMA Registrations (ID 92215)

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	2021-11-03	-
	RO	Asset management	2021-11-03	-
	RO	Dealing in securities	2021-11-03	-
	Rep	Advising on securities	2008-09-30	2021-11-03
	Rep	Asset management	2008-09-30	2021-11-03
	Rep	Dealing in securities	2008-08-21	2021-11-03
BEAR STEARNS ASIA LIMITED	Rep	Dealing in securities	2007-03-28	2008-05-30
Merrill Lynch (Asia Pacific) Limited	Rep	Asset management	2003-04-01	2005-01-25
	Rep	Advising on corporate finance	2003-04-01	2005-03-23
	Rep	Advising on securities	2003-04-01	2005-03-23
	Rep	Providing automated trading services	2003-04-01	2007-02-17
	Rep	Dealing in securities	2003-04-01	2007-02-17

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.