Personnel SFC Licences and HKMA Registrations (ID 93235)

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
UOB KAY HIAN (HONG KONG) LIMITED	Rep	Advising on securities	2023-06-12	-
	Rep	Dealing in securities	2023-06-12	-
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2023-06-12	-
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	Advising on securities	2006-07-10	2023-05-31
	Rep	Advising on futures contracts	2006-06-27	2023-05-31
	Rep	Dealing in futures contracts	2006-06-27	2023-05-31
	Rep	Dealing in securities	2006-06-27	2023-05-31
FT Securities Limited	Rep	Advising on futures contracts	2005-09-30	2006-06-14
	Rep	Dealing in futures contracts	2005-09-30	2006-06-14
	Rep	Dealing in securities	2005-03-16	2006-06-14
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2005-03-16	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.