Personnel SFC Licences and HKMA Registrations (ID 92331)

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
ALPHALEX CAPITAL MANAGEMENT (HK) LIMITED	Rep	Advising on securities	2022-03-16	-
	Rep	Asset management	2022-03-16	-
PIPER JAFFRAY ASIA SECURITIES LIMITED	Rep	Dealing in securities	2011-08-17	2012-08-25

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.