Personnel SFC Licences and HKMA Registrations (ID 93428)

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
LGT INVESTMENT MANAGEMENT (ASIA) LIMITED	Rep	Dealing in securities	2016-10-25	-
Credit Agricole Securities (Asia) Limited	Rep	Dealing in securities	2010-11-24	2012-03-23
Merrill Lynch Far East Limited	Rep	Dealing in securities	2007-01-26	2010-07-21
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2005-04-01	2010-07-21
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2005-02-23	2010-07-21
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2003-12-06	2005-02-23
	Rep	Dealing in futures contracts	2003-12-06	2005-02-23
	Rep	Providing automated trading services	2003-06-24	2003-12-02
	Rep	Advising on securities	2003-06-24	2005-02-23
	Rep	Dealing in securities	2003-06-24	2005-02-23
J.P. MORGAN FUTURES HONG KONG LIMITED	Rep	Advising on futures contracts	2003-06-24	2003-12-06
	Rep	Providing automated trading services	2003-06-24	2003-12-06
	Rep	Dealing in futures contracts	2003-06-24	2003-12-06

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.