Personnel SFC Licences and HKMA Registrations (ID 92600)

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
PRUDENTIAL BROKERAGE LIMITED	Rep	Dealing in securities	2022-06-16	-
PRESIDENT SECURITIES (HONG KONG) LIMITED	Rep	Dealing in securities	2008-01-03	2022-05-31
FULBRIGHT SECURITIES LIMITED	Rep	Dealing in securities	2007-09-06	2007-11-22
RHB SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2003-07-30	2007-08-16
TAI WAH SECURITIES LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-06-23
	Rep	Advising on securities	2003-04-01	2003-06-23
	Rep	Asset management	2003-04-01	2003-06-23
	Rep	Dealing in securities	2003-04-01	2003-06-23

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.