Personnel SFC Licences and HKMA Registrations (ID 92760)

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	2009-06-11	-
PRUDENTIAL INDEX TRADING COMPANY LIMITED	Rep	Dealing in futures contracts	2009-06-11	-
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2006-11-10	2009-06-04
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2006-10-03	2009-06-04
GT CAPITAL LIMITED	Rep	Dealing in securities	2006-01-09	2006-08-12

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.