Personnel SFC Licences and HKMA Registrations (ID 97289)

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
PRUDENTIAL BROKERAGE LIMITED	Rep	Dealing in securities	2013-06-17	-
PRUDENTIAL INDEX TRADING COMPANY LIMITED	Rep	Dealing in futures contracts	2013-06-17	-
CSC FUTURES (HK) LIMITED	Rep	Dealing in futures contracts	2012-11-02	2013-06-03
CSC SECURITIES (HK) LIMITED	Rep	Dealing in securities	2012-10-22	2013-06-03
XinKong International Securities Limited	Rep	Dealing in securities	2007-05-14	2012-09-15

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.