Personnel SFC Licences and HKMA Registrations (ID 94231)

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
NORTHERN TRUST COMPANY OF HONG KONG LIMITED, THE	RO	Advising on securities	2024-09-23	-
	RO	Asset management	2023-01-04	-
	RO	Dealing in futures contracts	2023-01-04	-
	RO	Dealing in securities	2023-01-04	-
	Rep	Dealing in futures contracts	2017-12-07	2023-01-04
	Rep	Dealing in securities	2017-12-07	2023-01-04
	RO	Dealing in futures contracts	2016-09-20	2017-12-07
	RO	Dealing in securities	2016-09-20	2017-12-07
	Rep	Asset management	2015-12-07	2023-01-04
	Rep	Dealing in futures contracts	2012-02-22	2016-09-20
	Rep	Dealing in securities	2012-02-22	2016-09-20
SG SECURITIES (HK) LIMITED	Rep	Providing automated trading services	2008-12-03	2011-12-10
	Rep	Dealing in futures contracts	2008-12-03	2011-12-10
	Rep	Dealing in securities	2008-12-03	2011-12-10

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.