Personnel SFC Licences and HKMA Registrations (ID 94524)

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
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2007-12-04	-
PIPER JAFFRAY ASIA SECURITIES LIMITED	Rep	Dealing in securities	2007-07-04	2007-10-01

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.