Personnel SFC Licences and HKMA Registrations (ID 93114)

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
Quam Securities Limited	RO	Advising on securities	2021-08-06	-
	RO	Asset management	2021-08-06	-
	RO	Dealing in futures contracts	2021-08-06	-
	RO	Dealing in securities	2021-08-06	-
	Rep	Advising on securities	2021-04-26	2021-08-06
	Rep	Asset management	2021-04-26	2021-08-06
	Rep	Dealing in futures contracts	2021-04-26	2021-08-06
	Rep	Dealing in securities	2021-04-26	2021-08-06
Realord Asia Pacific Securities Limited	RO	Dealing in futures contracts	2021-03-09	2021-04-06
Realord Asia Pacific Asset Management Limited	RO	Advising on securities	2020-04-17	2021-04-06
	RO	Asset management	2020-04-17	2021-04-06
Realord Asia Pacific Securities Limited	RO	Dealing in securities	2020-03-02	2021-04-06
	Rep	Dealing in securities	2020-01-14	2020-03-02
Quam Securities Limited	RO	Dealing in futures contracts	2013-12-23	2019-12-04
	RO	Dealing in securities	2013-12-23	2019-12-04
	Rep	Asset management	2011-08-10	2019-12-04
	Rep	Dealing in futures contracts	2009-06-01	2013-12-23
	Rep	Dealing in securities	2009-02-10	2013-12-23

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.