Personnel SFC Licences and HKMA Registrations (ID 93940)

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
SCHRODER INVESTMENT MANAGEMENT (HONG KONG) LIMITED	RO	Advising on securities	2018-05-02	-
	RO	Dealing in securities	2018-05-02	-
	Rep	Advising on securities	2010-06-10	2018-05-02
	Rep	Dealing in securities	2010-06-10	2018-05-02
	Rep	Asset management	2010-06-10	2023-01-25
AllianceBernstein Hong Kong Limited	Rep	Advising on futures contracts	2009-06-30	2010-02-05
	Rep	Advising on securities	2009-06-30	2010-02-05
	Rep	Dealing in securities	2009-06-30	2010-02-05

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.