Personnel SFC Licences and HKMA Registrations (ID 92648)

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
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on futures contracts	2021-08-27	-
	Rep	Advising on securities	2012-07-04	-
	Rep	Asset management	2012-07-04	-
	Rep	Dealing in securities	2012-07-04	-
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Dealing in securities	2012-07-04	-
PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED	Rep	Advising on securities	2010-09-08	2012-06-11
	Rep	Asset management	2010-09-08	2012-06-11

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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