Personnel SFC Licences and HKMA Registrations (ID 93201)

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
EAST ASIA FUTURES LIMITED	Rep	Dealing in futures contracts	2025-10-27	-
EAST ASIA SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2025-10-27	-
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on futures contracts	2010-11-01	2012-11-11
	Rep	Advising on securities	2010-11-01	2012-11-11
	Rep	Dealing in futures contracts	2010-11-01	2012-11-11
	Rep	Dealing in securities	2010-11-01	2012-11-11
FT Securities Limited	Rep	Advising on futures contracts	2005-10-04	2010-10-31
	Rep	Dealing in futures contracts	2005-10-04	2010-10-31
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2005-02-16	2005-10-04
FT Securities Limited	Rep	Advising on corporate finance	2003-04-01	2004-05-15
	Rep	Advising on securities	2003-04-01	2004-05-15
	Rep	Asset management	2003-04-01	2004-05-15
	Rep	Dealing in securities	2003-04-01	2010-10-31

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.