Personnel SFC Licences and HKMA Registrations (ID 95188)

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
EASTSPRING INVESTMENTS (HONG KONG) LIMITED (TRADING AS EASTSPRING INVESTMENTS)	RO	Dealing in securities	2024-06-11	-
	RO	Advising on securities	2023-02-03	-
	RO	Asset management	2023-02-03	-
	Rep	Advising on securities	2012-12-13	2023-02-03
	Rep	Asset management	2012-12-13	2023-02-03
	Rep	Dealing in securities	2012-12-13	2024-06-11
STATE STREET GLOBAL ADVISORS ASIA LIMITED	Rep	Dealing in securities	2010-01-04	2012-12-11
	Rep	Advising on securities	2009-12-07	2012-12-11
	Rep	Asset management	2009-12-07	2012-12-11
Nomura Asset Management Hong Kong Limited	Rep	Advising on securities	2007-10-17	2009-11-24
	Rep	Asset management	2007-10-17	2009-11-24

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.