Personnel SFC Licences and HKMA Registrations (ID 97869)

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
Capital International, Inc.	Rep	Dealing in securities	2022-05-12	-
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Advising on securities	2020-10-19	2022-03-25
	Rep	Asset management	2020-10-19	2022-03-25
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on securities	2014-07-10	2022-03-25
	Rep	Asset management	2014-07-10	2022-03-25
	Rep	Dealing in securities	2014-07-10	2022-03-25
HSBC Global Asset Management Holdings (Bahamas) Limited	Rep	Advising on securities	2014-07-10	2020-01-20
	Rep	Asset management	2014-07-10	2022-03-25
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	Dealing in securities	2014-07-10	2022-03-25
AN QIAO INVESTMENT (HONG KONG) LIMITED	Rep	Advising on securities	2009-12-16	2013-09-30

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.