Personnel SFC Licences and HKMA Registrations (ID 92283)

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
IvyRock Asset Management (HK) Limited	RO	Asset management	2018-09-20	-
	Rep	Asset management	2018-06-20	2018-09-20
LEGENDS ASSET MANAGEMENT LIMITED	RO	Asset management	2014-08-21	2018-04-30
	Rep	Asset management	2014-08-20	2014-08-21
Pinpoint Asset Management Limited	Rep	Asset management	2011-01-11	2013-12-09
Pinpoint Investment Advisor Limited	Rep	Asset management	2009-04-20	2011-06-30
Merrill Lynch (Asia Pacific) Limited	Rep	Advising on corporate finance	2007-08-20	2009-01-12
	Rep	Advising on securities	2007-08-20	2009-01-12
Merrill Lynch Far East Limited	Rep	Advising on corporate finance	2007-08-20	2009-01-12
	Rep	Advising on securities	2007-08-20	2009-01-12
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2007-08-01	2009-01-12
Merrill Lynch Far East Limited	Rep	Dealing in securities	2007-08-01	2009-01-12
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2006-06-01	2007-07-03
	Rep	Dealing in securities	2006-06-01	2007-07-03
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2006-06-01	2007-07-03
	Rep	Dealing in futures contracts	2006-06-01	2007-07-03
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in securities	2006-06-01	2007-07-03

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.