Personnel SFC Licences and HKMA Registrations (ID 97891)

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
iFAST Global Markets (HK) Limited	Rep	Advising on securities	2022-10-12	-
	Rep	Dealing in securities	2022-10-12	-
Nerico Brothers Limited (HK)	Rep	Dealing in futures contracts	2013-06-18	2022-05-04
	RO	Asset management	2012-12-07	2022-05-04
	Rep	Asset management	2012-11-26	2012-12-07
	Rep	Dealing in securities	2012-11-26	2022-05-04
Broadway Wealth Management Limited	RO	Advising on securities	2008-06-05	2012-08-15
	RO	Asset management	2008-06-05	2012-08-15
	Rep	Advising on securities	2008-05-20	2008-06-05
	Rep	Asset management	2008-05-20	2008-06-05
Lion Global Financial Limited	RO	Advising on securities	2007-02-09	2008-04-27
	RO	Asset management	2007-02-09	2008-04-27
	Rep	Advising on securities	2006-09-06	2007-02-09
	Rep	Asset management	2006-09-06	2007-02-09
BMI FUNDS MANAGEMENT LIMITED	RO	Advising on securities	2003-07-14	2006-06-27
	RO	Asset management	2003-07-14	2006-06-27
Broadway Wealth Management Limited	RO	Advising on corporate finance	2003-04-01	2003-06-03
	RO	Advising on securities	2003-04-01	2003-06-03
	RO	Asset management	2003-04-01	2003-06-03

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.