Personnel SFC Licences and HKMA Registrations (ID 93185)

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
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on futures contracts	2010-11-01	-
	Rep	Advising on securities	2010-11-01	-
	Rep	Dealing in futures contracts	2010-11-01	-
	Rep	Dealing in securities	2010-11-01	-
FT Securities Limited	Rep	Advising on futures contracts	2005-09-30	2010-10-31
	Rep	Dealing in futures contracts	2005-09-30	2010-10-31
	Rep	Advising on corporate finance	2003-04-01	2004-05-17
	Rep	Advising on securities	2003-04-01	2004-05-17
	Rep	Asset management	2003-04-01	2004-05-17
	Rep	Dealing in securities	2003-04-01	2010-10-31
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-05-17
	Rep	Asset management	2003-04-01	2004-05-17
	Rep	Dealing in futures contracts	2003-04-01	2005-10-04

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.