Personnel SFC Licences and HKMA Registrations (ID 93321)

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
E FUND MANAGEMENT (HONG KONG) CO., LIMITED	RO	Asset management	2018-05-17	-
	Rep	Asset management	2018-01-31	2018-05-17
	RO	Advising on securities	2017-07-19	-
	RO	Dealing in securities	2017-07-19	-
	RO	Asset management	2017-07-19	2018-01-31
	Rep	Advising on securities	2015-06-22	2017-07-19
	Rep	Asset management	2015-06-22	2017-07-19
	Rep	Dealing in securities	2015-06-22	2017-07-19
Jefferies Hong Kong Limited	Rep	Advising on corporate finance	2013-06-10	2014-03-07
	Rep	Advising on securities	2013-06-10	2014-03-07
CGS International Securities Hong Kong Limited	Rep	Advising on corporate finance	2012-07-09	2013-05-31
	Rep	Dealing in securities	2012-07-09	2013-05-31
RBS Asia Corporate Finance Limited	Rep	Advising on corporate finance	2010-11-19	2012-06-30
	Rep	Dealing in securities	2010-11-19	2012-06-30

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.