Personnel SFC Licences and HKMA Registrations (ID 96722)

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
FIL Investment Management (Hong Kong) Limited	RO	Dealing in securities	2023-05-02	-
FIL Investment Advisors	RO	Advising on futures contracts	2020-05-13	-
	RO	Advising on securities	2020-05-13	-
	RO	Asset management	2020-05-13	-
FIL Investment Management (Hong Kong) Limited	RO	Advising on futures contracts	2020-05-13	-
	RO	Advising on securities	2020-05-13	-
	RO	Asset management	2020-05-13	-
FIL Investment Advisors	Rep	Advising on securities	2019-09-02	2020-05-13
	Rep	Asset management	2019-09-02	2020-05-13
FIL Investment Management (Hong Kong) Limited	Rep	Advising on securities	2019-09-02	2020-05-13
	Rep	Asset management	2019-09-02	2020-05-13
UBS Asset Management (Hong Kong) Limited	Rep	Advising on securities	2011-09-02	2013-04-22
	Rep	Asset management	2011-09-02	2013-04-22

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.