Personnel SFC Licences and HKMA Registrations (ID 94797)

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
LOMBARD ODIER (HONG KONG) LIMITED	Rep	Dealing in securities	2018-07-19	-
RBC GLOBAL ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2013-01-14	2018-05-31
	Rep	Asset management	2013-01-14	2018-05-31
	Rep	Dealing in securities	2013-01-14	2018-05-31
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2011-09-09	2012-07-31
	Rep	Asset management	2011-09-09	2012-07-31
	Rep	Dealing in securities	2011-09-09	2012-07-31
BNP PARIBAS DEALING SERVICES ASIA LIMITED	Rep	Advising on securities	2010-04-20	2010-07-02
	Rep	Asset management	2010-04-20	2010-07-02
	Rep	Dealing in securities	2010-04-20	2010-11-08
BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED	Rep	Asset management	2008-01-14	2011-08-19
	Rep	Advising on securities	2007-06-07	2011-08-19
	Rep	Dealing in securities	2007-06-07	2011-08-19

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.